organization · Reporting owner
NOVO HOLDINGS A/S
Disclosed activity across 38 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arcellx, Inc.ACLX · Entity 15294 | 10% owner | February 08, 2022 | February 09, 2022 |
| CoLucid Pharmaceuticals, Inc.CLCD · Entity 12304 | 10% owner | September 09, 2016 | September 13, 2016 |
| Damora Therapeutics, Inc.GLTO · Entity 4602 | 10% owner | November 02, 2020 | November 05, 2020 |
| Entasis Therapeutics Holdings Inc.ETTX · Entity 16036 | 10% owner | September 28, 2018 | October 01, 2018 |
| Mirum Pharmaceuticals, Inc.MIRM · Entity 2416 | 10% owner | July 22, 2019 | July 23, 2019 |
| REATA PHARMACEUTICALS INCRETA · Entity 12293 | 10% owner | June 22, 2017 | June 23, 2017 |
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.
Arcellx, Inc.
Report date February 08, 2022 · Filed February 09, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 4,016,878 |
Ending reported balance
After 2022-02-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-02-08 · Conversion · Acquired 3,183,545 · Balance 3,183,545 F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2022-02-08 · Purchase · Acquired 833,333 · Balance 4,016,878 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES A PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-02-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-02-08 · Conversion · Disposed 1,550,309 · Balance 0 F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES B-1 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-02-08 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-02-08 · Conversion · Disposed 666,651 · Balance 0 F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES B-2 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-02-08 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-02-08 · Conversion · Disposed 533,389 · Balance 0 F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES C PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-02-08 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-02-08 · Conversion · Disposed 433,196 · Balance 0 F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock, Series B-1 Preferred Stock, Series B-2 Preferred Stock, and Series C Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
CoLucid Pharmaceuticals, Inc.
Report date September 09, 2016 · Filed September 13, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 3,156,563 |
Reported balance
After 2016-09-09 transaction · row 1
1 source rowRow 1 · 2016-09-09 · Purchase · Acquired 100,000 · Balance 3,156,563 |
Damora Therapeutics, Inc.
Report date November 02, 2020 · Filed November 05, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,497,791 |
Ending reported balance
After 2020-11-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-11-02 · Conversion · Acquired 2,164,458 · Balance 2,164,458 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. Row 2 · 2020-11-02 · Purchase · Acquired 333,333 · Balance 2,497,791 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES B-1 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-11-02 · Conversion · Disposed 25,562 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES B-2 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-11-02 · Conversion · Disposed 15,833 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES B-3 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-11-02 · Conversion · Disposed 63,333 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES B-4 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-11-02 · Conversion · Disposed 66,666 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES C-1 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-11-02 · Conversion · Disposed 133,991 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES C-2 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-11-02 · Conversion · Disposed 194,666 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES C-4 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-11-02 · Conversion · Disposed 181,688 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES C-5 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-11-02 · Conversion · Disposed 51,911 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES D PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-11-02 · Conversion · Disposed 98,930 · Balance 0 F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series B-3 Preferred Stock, Series B-4 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series C-4 Preferred Stock, Series C-5 Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") converted into Common Stock at a ratio of 1:2.59970 into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Entasis Therapeutics Holdings Inc.
Report date September 28, 2018 · Filed October 01, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,181,843 |
Ending reported balance
After 2018-09-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-09-28 · Conversion · Acquired 1,092,008 · Balance 1,092,008 F1: Series B and B-1 redeemable convertible preferred stock (collectively, the "Preferred Stock") has no expiration date and is convertible at any time, at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted into shares of the Issuer's Common Stock based on the Series B Preferred Stock Conversion Price, Series B-1 Tranche A Preferred Stock Conversion Price and Series B-1 Tranche B Preferred Stock Conversion Price (each as defined in the Issuer's Amended and Restated Certificate of Incorporation). F2: Includes 67,440 shares of common stock issued per dividends accrued through September 27, 2018. Row 2 · 2018-09-28 · Purchase · Acquired 1,089,835 · Balance 2,181,843 F3: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-09-28 · Conversion · Disposed 7,000,000 · Balance 0 F1: Series B and B-1 redeemable convertible preferred stock (collectively, the "Preferred Stock") has no expiration date and is convertible at any time, at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted into shares of the Issuer's Common Stock based on the Series B Preferred Stock Conversion Price, Series B-1 Tranche A Preferred Stock Conversion Price and Series B-1 Tranche B Preferred Stock Conversion Price (each as defined in the Issuer's Amended and Restated Certificate of Incorporation). |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-09-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-09-28 · Conversion · Disposed 14,237,288 · Balance 0 F1: Series B and B-1 redeemable convertible preferred stock (collectively, the "Preferred Stock") has no expiration date and is convertible at any time, at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted into shares of the Issuer's Common Stock based on the Series B Preferred Stock Conversion Price, Series B-1 Tranche A Preferred Stock Conversion Price and Series B-1 Tranche B Preferred Stock Conversion Price (each as defined in the Issuer's Amended and Restated Certificate of Incorporation). |
Filing footnotes · ownership attribution and instrument terms
F1: Series B and B-1 redeemable convertible preferred stock (collectively, the "Preferred Stock") has no expiration date and is convertible at any time, at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted into shares of the Issuer's Common Stock based on the Series B Preferred Stock Conversion Price, Series B-1 Tranche A Preferred Stock Conversion Price and Series B-1 Tranche B Preferred Stock Conversion Price (each as defined in the Issuer's Amended and Restated Certificate of Incorporation).
F2: Includes 67,440 shares of common stock issued per dividends accrued through September 27, 2018.
F3: Represents a purchase from the underwriters in the Issuer's initial public offering.
Mirum Pharmaceuticals, Inc.
Report date July 22, 2019 · Filed July 23, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,445,147 |
Ending reported balance
After 2019-07-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-07-22 · Conversion · Acquired 1,870,147 · Balance 1,870,147 F1: Each share of Series A Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2019-07-22 · Purchase · Acquired 575,000 · Balance 2,445,147 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES A PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-07-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-07-22 · Conversion · Disposed 1,870,147 · Balance 0 F1: Each share of Series A Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
REATA PHARMACEUTICALS INC
Report date June 22, 2017 · Filed June 23, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS B COMMON STOCKSEC Table II · derivative / convertible security | Direct | 1,201,969 |
Reported balance
After 2017-06-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-22 · Sale · Disposed 1,200,000 · Balance 1,201,969 F1: Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time. The shares of Class B Common Stock generally converts to shares of Class A Common Stock upon sale or transfer, subject to certain exceptions. F2: Private sale of Class B Common Stock pursuant to a Purchase Agreement dated June 22, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time. The shares of Class B Common Stock generally converts to shares of Class A Common Stock upon sale or transfer, subject to certain exceptions.
F2: Private sale of Class B Common Stock pursuant to a Purchase Agreement dated June 22, 2017.
Past disclosures · reporting ended (32)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ANAPTYSBIO, INC
Report date August 21, 2017 · Filed August 21, 2017
Section 16 reporting ended · disclosed 2017-08-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,936,604 |
Reported balance
After 2017-08-21 transaction · row 1
1 source rowRow 1 · 2017-08-21 · Sale · Disposed 356,300 · Balance 1,936,604 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $21.10 to $22.08, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $21.10 to $22.08, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Aligos Therapeutics, Inc.
Report date October 20, 2020 · Filed October 22, 2020
Section 16 reporting ended · disclosed 2020-10-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,614,563 |
Ending reported balance
After 2020-10-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-20 · Conversion · Acquired 2,414,563 · Balance 2,414,563 F1: Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2020-10-20 · Purchase · Acquired 200,000 · Balance 2,614,563 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES A CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-10-20 · Conversion · Disposed 1,609,493 · Balance 0 F1: Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES B -1 CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-20 · Conversion · Disposed 563,851 · Balance 0 F1: Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES B -2 CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-20 · Conversion · Disposed 241,219 · Balance 0 F1: Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Apollo Endosurgery, Inc.
Report date July 24, 2017 · Filed July 26, 2017
Section 16 reporting ended · disclosed 2017-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,301,842 |
Ending reported balance
After 2017-07-26 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-07-24 · Sale · Disposed 17,200 · Balance 1,334,772 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.4350, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2017-07-25 · Sale · Disposed 24,504 · Balance 1,310,268 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7750 to $7.1600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 3 · 2017-07-26 · Sale · Disposed 8,426 · Balance 1,301,842 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.1800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.4350, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7750 to $7.1600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.1800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Avalyn Pharma Inc.
Report date May 01, 2026 · Filed May 05, 2026
Section 16 reporting ended · disclosed 2026-05-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 3,883,289 |
Ending reported balance
After 2026-05-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-05-01 · Conversion · Acquired 3,327,734 · Balance 3,327,734 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. Row 2 · 2026-05-01 · Purchase · Acquired 555,555 · Balance 3,883,289 |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-01 · Conversion · Disposed 18,000,000 · Balance 0 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-01 · Conversion · Disposed 1,986,369 · Balance 0 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-01 · Conversion · Disposed 25,899,284 · Balance 0 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-05-01 · Conversion · Disposed 5,587,603 · Balance 0 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. |
| Series D Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-05-01 · Conversion · Disposed 12,558,081 · Balance 0 F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-19.2417 basis, and had no expiration date.
Bolt Biotherapeutics, Inc.
Report date July 13, 2022 · Filed July 15, 2022
Section 16 reporting ended · disclosed 2022-07-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 3,703,991 |
Reported balance
After 2022-07-13 transaction · row 1
1 source rowRow 1 · 2022-07-13 · Sale · Disposed 800,000 · Balance 3,703,991 |
Checkmate Pharmaceuticals, Inc.
Report date February 23, 2022 · Filed February 25, 2022
Section 16 reporting ended · disclosed 2022-02-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,161,990 |
Ending reported balance
After 2022-02-25 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-02-23 · Sale · Disposed 1,820 · Balance 2,168,280 Row 2 · 2022-02-24 · Sale · Disposed 5,990 · Balance 2,162,290 F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.79 to $2.91. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price noted in this footnote. Row 3 · 2022-02-25 · Sale · Disposed 300 · Balance 2,161,990 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.79 to $2.91. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price noted in this footnote.
Corvus Pharmaceuticals, Inc.
Report date July 07, 2020 · Filed July 09, 2020
Section 16 reporting ended · disclosed 2020-07-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 1,389,498 |
Ending reported balance
After 2020-07-08 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-07-07 · Sale · Disposed 796,622 · Balance 2,130,938 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.900 to $5.525, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2020-07-08 · Sale · Disposed 741,440 · Balance 1,389,498 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.020 to $5.810, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.900 to $5.525, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.020 to $5.810, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Cyteir Therapeutics, Inc.
Report date July 19, 2023 · Filed July 20, 2023
Section 16 reporting ended · disclosed 2023-07-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,522,136 |
Ending reported balance
After 2023-07-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-07-19 · Sale · Disposed 1,900 · Balance 3,622,136 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.77, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2023-07-20 · Sale · Disposed 100,000 · Balance 3,522,136 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.78, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.77, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.75 to $2.78, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Disc Medicine, Inc.
Report date June 28, 2023 · Filed June 28, 2023
Section 16 reporting ended · disclosed 2023-06-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,090,772 |
Reported balance
After 2023-06-28 transaction · row 1
1 source rowRow 1 · 2023-06-28 · Sale · Disposed 1,250,000 · Balance 1,090,772 |
Eargo, Inc.
Report date October 20, 2020 · Filed October 22, 2020
Section 16 reporting ended · disclosed 2020-10-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 887,071 |
Ending reported balance
After 2020-10-20 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-20 · Conversion · Acquired 737,071 · Balance 737,071 F1: Each share of Series E Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2020-10-20 · Purchase · Acquired 150,000 · Balance 887,071 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES E CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-10-20 · Conversion · Acquired 737,071 · Balance 0 F1: Each share of Series E Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series E Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Edgewise Therapeutics, Inc.
Report date September 14, 2022 · Filed September 16, 2022
Section 16 reporting ended · disclosed 2022-09-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 6,071,703 |
Reported balance
After 2022-09-14 transaction · row 1
1 source rowRow 1 · 2022-09-14 · Purchase · Acquired 484,496 · Balance 6,071,703 F1: Represents a purchase from the underwriters in the Issuer's public offering. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a purchase from the underwriters in the Issuer's public offering.
Galera Therapeutics, Inc.
Report date February 18, 2021 · Filed February 19, 2021
Section 16 reporting ended · disclosed 2021-02-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,459,021 |
Reported balance
After 2021-02-18 transaction · row 1
1 source rowRow 1 · 2021-02-18 · Sale · Disposed 500,000 · Balance 2,459,021 F1: The securities were sold as a block sale broker transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were sold as a block sale broker transaction.
HTG MOLECULAR DIAGNOSTICS, INC
Report date August 23, 2017 · Filed August 25, 2017
Section 16 reporting ended · disclosed 2017-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 1,102,651 |
Reported balance
After 2017-08-23 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-08-23 · Sale · Disposed 47,162 · Balance 1,102,651 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.95 to $2.07, inclusive. Novo Holdings A/S ("Novo") undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: This total does not include 49,786 shares of common stock subject to warrants which were erroneously reported as having been exercised in connection with the Issuer's IPO on a Form 4 filed May 12, 2015. Thus, the holdings of common stock reported by Novo since the May 12, 2015 filing have overstated the total shares held by 49,786 shares. |
| COMMON STOCKSEC Table I · non-derivative | Direct | 720,214 |
Reported balance
After 2017-08-24 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-08-24 · Sale · Disposed 382,437 · Balance 720,214 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.900 to $2.045, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| COMMON STOCKSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-08-25 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2017-08-25 · Sale · Disposed 720,214 · Balance 0 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 to $1.87, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2022-01-14 | Direct | 49,786 |
Reported balance
Holding disclosure · report date 2017-08-23 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 49,786 F5: These warrants have no expiration date and are convertible at any time at the holder's election. F6: These warrants were erroneously reported as exercised at the time of the IPO on the Form 4 filed May 12, 2015. The warrants are unexercised and, as of the date of this filing, Novo does not hold any shares of common stock but continues to hold the warrants. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.95 to $2.07, inclusive. Novo Holdings A/S ("Novo") undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: This total does not include 49,786 shares of common stock subject to warrants which were erroneously reported as having been exercised in connection with the Issuer's IPO on a Form 4 filed May 12, 2015. Thus, the holdings of common stock reported by Novo since the May 12, 2015 filing have overstated the total shares held by 49,786 shares.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.900 to $2.045, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 to $1.87, inclusive. Novo undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F5: These warrants have no expiration date and are convertible at any time at the holder's election.
F6: These warrants were erroneously reported as exercised at the time of the IPO on the Form 4 filed May 12, 2015. The warrants are unexercised and, as of the date of this filing, Novo does not hold any shares of common stock but continues to hold the warrants.
Harmony Biosciences Holdings, Inc.
Report date August 21, 2020 · Filed September 04, 2020 · Amendment
Section 16 reporting ended · disclosed 2020-09-04. 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 | 3,754,973 |
Reported balance
After 2020-08-21 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-08-21 · Conversion · Acquired 3,622,470 · Balance 3,754,973 F1: This amendment reflects the updated dividend shares issuable on the preferred stock as communicated to Novo Holdings A/S by the Issuer on August 31, 2020. The Series A Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted on a 8.215-for-1 basis into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment or further consideration. The number of shares of Common Stock shown in Column 7 also includes the payment of an accrued stock dividend by the Company to the holder which became due and issuable upon the conversion of the convertible preferred stock. These shares have no expiration date. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-21 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2020-08-21 · Conversion · Disposed 25,000,000 · Balance 0 F1: This amendment reflects the updated dividend shares issuable on the preferred stock as communicated to Novo Holdings A/S by the Issuer on August 31, 2020. The Series A Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted on a 8.215-for-1 basis into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment or further consideration. The number of shares of Common Stock shown in Column 7 also includes the payment of an accrued stock dividend by the Company to the holder which became due and issuable upon the conversion of the convertible preferred stock. These shares have no expiration date. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-21 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2020-08-21 · Conversion · Disposed 1,860,107 · Balance 0 F1: This amendment reflects the updated dividend shares issuable on the preferred stock as communicated to Novo Holdings A/S by the Issuer on August 31, 2020. The Series A Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted on a 8.215-for-1 basis into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment or further consideration. The number of shares of Common Stock shown in Column 7 also includes the payment of an accrued stock dividend by the Company to the holder which became due and issuable upon the conversion of the convertible preferred stock. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: This amendment reflects the updated dividend shares issuable on the preferred stock as communicated to Novo Holdings A/S by the Issuer on August 31, 2020. The Series A Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted on a 8.215-for-1 basis into the number of shares of Common Stock as shown in Column 7 upon the closing of the Issuer's initial public offering without payment or further consideration. The number of shares of Common Stock shown in Column 7 also includes the payment of an accrued stock dividend by the Company to the holder which became due and issuable upon the conversion of the convertible preferred stock. These shares have no expiration date.
Hemab Therapeutics Holdings, Inc.
Report date May 04, 2026 · Filed May 06, 2026
Section 16 reporting ended · disclosed 2026-05-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,180,550 |
Reported balance
After 2026-05-04 transaction · row 1
1 source rowRow 1 · 2026-05-04 · Conversion · Acquired 4,180,550 · Balance 4,180,550 F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date. |
| Series Seed Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-05-04 · Conversion · Disposed 23,343 · Balance 0 F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-04 · Conversion · Disposed 71,866 · Balance 0 F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-04 · Conversion · Disposed 62,121 · Balance 0 F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-05-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-05-04 · Conversion · Disposed 32,695 · Balance 0 F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration, on a 22-for-1 basis, and had no expiration date.
IO Biotech, Inc.
Report date July 25, 2024 · Filed July 27, 2024
Section 16 reporting ended · disclosed 2024-07-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 4,354,449 |
Ending reported balance
After 2024-07-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-07-25 · Sale · Disposed 51,522 · Balance 4,377,927 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.29 to $1.39, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2024-07-26 · Sale · Disposed 23,478 · Balance 4,354,449 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.28 to $1.34, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.29 to $1.39, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.28 to $1.34, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
IVERIC bio, Inc.
Report date December 14, 2016 · Filed December 16, 2016
Section 16 reporting ended · disclosed 2016-12-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2016-12-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-12-14 · Sale · Disposed 2,205,000 · Balance 1,405,487 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.87 to $5.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2016-12-15 · Sale · Disposed 1,405,487 · Balance 0 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.53 to $4.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.87 to $5.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.53 to $4.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Inogen Inc
Report date June 02, 2021 · Filed June 03, 2021
Section 16 reporting ended · disclosed 2021-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,079,320 |
Reported balance
After 2021-06-02 transaction · row 1
1 source rowRow 1 · 2021-06-02 · Sale · Disposed 680,000 · Balance 2,079,320 F1: The securities were sold as a block sale broker transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were sold as a block sale broker transaction.
Inozyme Pharma, Inc.
Report date January 28, 2021 · Filed February 01, 2021
Section 16 reporting ended · disclosed 2021-02-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,194,379 |
Reported balance
After 2021-01-28 transaction · row 1
1 source rowRow 1 · 2021-01-28 · Sale · Disposed 375,000 · Balance 2,194,379 F1: The securities were sold as a block sale broker transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were sold as a block sale broker transaction.
KalVista Pharmaceuticals, Inc.
Report date October 10, 2017 · Filed October 12, 2017
Section 16 reporting ended · disclosed 2017-10-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-10-12 transaction · row 9
9 source rows · reconciled sequenceRow 1 · 2017-10-10 · Sale · Disposed 413,356 · Balance 2,311,927 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 2 · 2017-10-10 · Sale · Disposed 190,981 · Balance 2,120,946 F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 3 · 2017-10-10 · Sale · Disposed 165,199 · Balance 1,955,747 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.00 to $12.77, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 4 · 2017-10-10 · Sale · Disposed 61,044 · Balance 1,894,703 F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.00 to $13.88, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 5 · 2017-10-10 · Sale · Disposed 57,580 · Balance 1,837,123 F5: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.00 to $14.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 6 · 2017-10-10 · Sale · Disposed 75,123 · Balance 1,762,000 F6: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.00 to $15.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 7 · 2017-10-11 · Sale · Disposed 35,519 · Balance 1,726,481 F7: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.36, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Row 8 · 2017-10-12 · Sale · Disposed 481 · Balance 1,726,000 Row 9 · 2017-10-12 · Sale · Disposed 1,726,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.00 to $12.77, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.00 to $13.88, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F5: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.00 to $14.90, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F6: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.00 to $15.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F7: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.36, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
MINERVA SURGICAL INC
Report date October 26, 2021 · Filed October 27, 2021
Section 16 reporting ended · disclosed 2021-10-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,057,132 |
Ending reported balance
After 2021-10-26 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2021-10-26 · Conversion · Acquired 884,484 · Balance 884,484 F1: The Series D Redeemable Convertible Preferred Stock converted into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's initial public offering ("IPO") without payment of further consideration. These shares have no expiration date. Row 2 · 2021-10-26 · Conversion · Acquired 592,648 · Balance 1,477,132 F2: The Subordinated Secured Convertible Promissory Notes converted into preferred stock, which converts into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's IPO without payment of further consideration. The notes have a maturity date of June 30, 2023. Row 3 · 2021-10-26 · Purchase · Acquired 580,000 · Balance 2,057,132 F3: Represents a purchase from the underwriters in the Issuer's IPO. |
| SERIES D REDEEMABLE CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-10-26 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-10-26 · Conversion · Disposed 884,484 · Balance 0 F1: The Series D Redeemable Convertible Preferred Stock converted into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's initial public offering ("IPO") without payment of further consideration. These shares have no expiration date. |
| SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTESSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-10-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-10-26 · Conversion · Disposed Not disclosed · Balance 0 F2: The Subordinated Secured Convertible Promissory Notes converted into preferred stock, which converts into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's IPO without payment of further consideration. The notes have a maturity date of June 30, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series D Redeemable Convertible Preferred Stock converted into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's initial public offering ("IPO") without payment of further consideration. These shares have no expiration date.
F2: The Subordinated Secured Convertible Promissory Notes converted into preferred stock, which converts into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's IPO without payment of further consideration. The notes have a maturity date of June 30, 2023.
F3: Represents a purchase from the underwriters in the Issuer's IPO.
MapLight Therapeutics, Inc.
Report date October 28, 2025 · Filed October 30, 2025
Section 16 reporting ended · disclosed 2025-10-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 3,686,622 |
Ending reported balance
After 2025-10-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-10-28 · Conversion · Acquired 2,733,681 · Balance 2,733,681 F1: The Series C Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-16.8 basis, and had no expiration date. Row 2 · 2025-10-28 · Purchase · Acquired 952,941 · Balance 3,686,622 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-10-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-10-28 · Conversion · Disposed 26,191,207 · Balance 0 F1: The Series C Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-16.8 basis, and had no expiration date. |
| Series D Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-10-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-10-28 · Conversion · Disposed 19,734,671 · Balance 0 F1: The Series C Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-16.8 basis, and had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series C Preferred Stock and Series D Preferred Stock automatically converted into voting common stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1-for-16.8 basis, and had no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Metagenomi Therapeutics, Inc.
Report date February 09, 2024 · Filed February 16, 2024
Section 16 reporting ended · disclosed 2024-02-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 1,739,175 |
Ending reported balance
After 2024-02-13 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2024-02-09 · Purchase · Acquired 100,000 · Balance 100,000 Row 2 · 2024-02-13 · Conversion · Acquired 839,175 · Balance 939,175 F1: Each share of Series B Preferred Stock and Series B-1 Preferred Stock converted into Common Stock, on a one-for-one basis, automatically upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. Row 3 · 2024-02-13 · Purchase · Acquired 800,000 · Balance 1,739,175 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES B PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-02-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-02-13 · Conversion · Disposed 147,415 · Balance 0 F1: Each share of Series B Preferred Stock and Series B-1 Preferred Stock converted into Common Stock, on a one-for-one basis, automatically upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
| SERIES B-1 PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-02-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-02-13 · Conversion · Disposed 691,760 · Balance 0 F1: Each share of Series B Preferred Stock and Series B-1 Preferred Stock converted into Common Stock, on a one-for-one basis, automatically upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock and Series B-1 Preferred Stock converted into Common Stock, on a one-for-one basis, automatically upon the closing of the Issuer's initial public offering without payment of additional consideration. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Milestone Pharmaceuticals Inc.
Report date November 25, 2019 · Filed November 27, 2019
Section 16 reporting ended · disclosed 2019-11-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON SHARESSEC Table I · non-derivative | Direct | 2,434,470 |
Reported balance
After 2019-11-25 transaction · row 1
1 source rowRow 1 · 2019-11-25 · Sale · Disposed 240,000 · Balance 2,434,470 F1: The securities were sold as a block sale broker transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities were sold as a block sale broker transaction.
Morphic Holding, Inc.
Report date June 28, 2019 · Filed July 01, 2019
Section 16 reporting ended · disclosed 2019-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,645,446 |
Ending reported balance
After 2019-06-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-06-28 · Conversion · Acquired 1,978,779 · Balance 1,978,779 F1: Each share of Series B Convertible Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2019-06-28 · Purchase · Acquired 666,667 · Balance 2,645,446 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES B CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-06-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-06-28 · Conversion · Disposed 1,978,779 · Balance 0 F1: Each share of Series B Convertible Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Convertible Preferred Stock converted automatically into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
Nkarta, Inc.
Report date July 14, 2020 · Filed July 16, 2020
Section 16 reporting ended · disclosed 2020-07-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,793,865 |
Ending reported balance
After 2020-07-14 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-07-14 · Conversion · Acquired 2,238,310 · Balance 2,238,310 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2020-07-14 · Purchase · Acquired 555,555 · Balance 2,793,865 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES A CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-14 · Conversion · Disposed 525,499 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
| SERIES B CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-14 · Conversion · Disposed 1,712,811 · Balance 0 F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
OnKure Therapeutics, Inc.
Report date June 23, 2023 · Filed June 23, 2023
Section 16 reporting ended · disclosed 2023-06-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,330,337 |
Reported balance
After 2023-06-23 transaction · row 1
1 source rowRow 1 · 2023-06-23 · Sale · Disposed 100,000 · Balance 3,330,337 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.93 to $7.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.93 to $7.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
Praxis Precision Medicines, Inc.
Report date October 20, 2020 · Filed October 21, 2020
Section 16 reporting ended · disclosed 2020-10-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,442,080 |
Reported balance
After 2020-10-20 transaction · row 1
1 source rowRow 1 · 2020-10-20 · Conversion · Acquired 2,442,080 · Balance 2,442,080 F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date. |
| SERIES B REDEEMABLE CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-10-20 · Conversion · Disposed 4,150,000 · Balance 0 F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date. |
| SERIES B-1 REDEEMABLE CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-10-20 · Conversion · Disposed 551,794 · Balance 0 F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date. |
| SERIES C REDEEMABLE CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-20 · Conversion · Disposed 171,410 · Balance 0 F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date. |
| SERIES C-1 REDEEMABLE CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-10-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-20 · Conversion · Disposed 352,734 · Balance 0 F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series B Redeemable Convertible Preferred Stock, Series B-1 Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock and Series C-1 Redeemable Convertible Preferred Stock automatically converted on a 2.14-for-1 basis into the number of shares of common stock as shown in Column 7 upon the completion of the Issuer's initial public offering without payment of further consideration. The preferred stock had no expiration date.
Ra Pharmaceuticals, Inc.
Report date October 31, 2016 · Filed November 02, 2016
Section 16 reporting ended · disclosed 2016-11-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,031,562 |
Ending reported balance
After 2016-10-31 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2016-10-31 · Conversion · Acquired 924,970 · Balance 924,970 F1: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Row 2 · 2016-10-31 · Conversion · Acquired 860,438 · Balance 1,785,408 F1: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Row 3 · 2016-10-31 · Purchase · Acquired 246,154 · Balance 2,031,562 F2: Represents a purchase from the underwriters in the Issuer's public offering. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-10-31 · Conversion · Disposed 924,970 · Balance 0 F1: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. |
| Series B-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-10-31 · Conversion · Disposed 860,438 · Balance 0 F1: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock.
F2: Represents a purchase from the underwriters in the Issuer's public offering.
SPRUCE BIOSCIENCES, INC.
Report date March 21, 2024 · Filed March 26, 2024
Section 16 reporting ended · disclosed 2024-03-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 2,550,000 |
Reported balance
After 2024-03-21 transaction · row 1
1 source rowRow 1 · 2024-03-21 · Sale · Disposed 465,021 · Balance 2,550,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.71 to $0.7785, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.71 to $0.7785, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Verve Therapeutics, Inc.
Report date June 21, 2021 · Filed June 22, 2021
Section 16 reporting ended · disclosed 2021-06-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 793,265 |
Ending reported balance
After 2021-06-21 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-06-21 · Conversion · Acquired 443,265 · Balance 443,265 F1: Each share of Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. Row 2 · 2021-06-21 · Purchase · Acquired 350,000 · Balance 793,265 F2: Represents a purchase from the underwriters in the Issuer's initial public offering. |
| SERIES B CONVERTIBLE PREFERRED STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-21 · Conversion · Disposed 443,265 · Balance 0 F1: Each share of Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Convertible Preferred Stock automatically converted into one share of common stock upon the completion of the Issuer's initial public offering. These shares have no expiration date.
F2: Represents a purchase from the underwriters in the Issuer's initial public offering.
iRhythm Holdings, Inc.
Report date October 25, 2016 · Filed October 26, 2016
Section 16 reporting ended · disclosed 2016-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,124,448 |
Ending reported balance
After 2016-10-25 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-10-25 · Conversion · Acquired 2,007,449 · Balance 2,024,448 F1: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Row 2 · 2016-10-25 · Purchase · Acquired 100,000 · Balance 2,124,448 F2: Represents a purchase from the underwriters in the Issuer's public offering. |
| Series E Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-10-25 · Conversion · Disposed 2,007,449 · Balance 0 F1: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock.
F2: Represents a purchase from the underwriters in the Issuer's public offering.
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 |
|---|---|---|---|---|---|---|
| August 07, 2017 Filed Aug 8, 2017 22:08 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | SaleCommon Stock | 480,000 | $21.10 | $10,128,000.00 |
DisclosureSEC source: 0001209191-17-048152 · doc4.xml · nonDerivative · entry 2 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,472,527 Read SEC document |
| August 04, 2017 Filed Aug 8, 2017 22:08 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | SaleCommon Stock | 10,271 | $22.00 | $225,963.03 |
DisclosureSEC source: 0001209191-17-048152 · doc4.xml · nonDerivative · entry 1 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,952,527 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in two transactions with one transaction pricing at $22.00 and the other transaction pricing at $22.01. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth in this footnote. Read SEC document |
| August 03, 2017 Filed Aug 3, 2017 21:21 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | SaleCommon Stock | 21,451 | $22.01 | $472,192.28 |
DisclosureSEC source: 0001209191-17-047444 · doc4.xml · nonDerivative · entry 3 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,962,798 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.000 to $22.175, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 02, 2017 Filed Aug 3, 2017 21:21 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | SaleCommon Stock | 25,700 | $23.87 | $613,484.70 |
DisclosureSEC source: 0001209191-17-047444 · doc4.xml · nonDerivative · entry 2 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,984,249 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $23.75 to $24.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 21:21 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | SaleCommon Stock | 23,555 | $23.87 | $562,269.63 |
DisclosureSEC source: 0001209191-17-047444 · doc4.xml · nonDerivative · entry 1 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,009,949 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $23.80 to $24.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 26, 2017 Filed Jul 26, 2017 19:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 8,426 | $6.84 | $57,643.11 |
DisclosureSEC source: 0001209191-17-046365 · doc4.xml · nonDerivative · entry 3 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,301,842 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.1800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 19:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 24,504 | $6.96 | $170,584.60 |
DisclosureSEC source: 0001209191-17-046365 · doc4.xml · nonDerivative · entry 2 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,310,268 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7750 to $7.1600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 24, 2017 Filed Jul 26, 2017 19:22 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 17,200 | $6.83 | $117,537.92 |
DisclosureSEC source: 0001209191-17-046365 · doc4.xml · nonDerivative · entry 1 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,334,772 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.7500 to $7.4350, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 23, 2017 Filed Jun 27, 2017 20:52 UTC | Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 | PurchaseCOMMON STOCK | 20,000 | $10.95 | $219,000.00 |
DisclosureSEC source: 0001209191-17-041961 · doc4.xml · nonDerivative · entry 1 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,244,046 Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 16:34 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS B COMMON STOCK · Derivative | 1,200,000 | $25.00 | $30,000,000.00 |
DisclosureSEC source: 0001209191-17-041666 · doc4.xml · derivative · entry 1 Novo Holdings A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,201,969 Underlying: CLASS A COMMON STOCK · 1,200,000 shares Expires not disclosed F1 · derivative.exercise_price: Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time. The shares of Class B Common Stock generally converts to shares of Class A Common Stock upon sale or transfer, subject to certain exceptions. F2 · kind: Private sale of Class B Common Stock pursuant to a Purchase Agreement dated June 22, 2017. F1 · derivative.exercise_date: Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time. The shares of Class B Common Stock generally converts to shares of Class A Common Stock upon sale or transfer, subject to certain exceptions. F1 · derivative.expiration_date: Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time. The shares of Class B Common Stock generally converts to shares of Class A Common Stock upon sale or transfer, subject to certain exceptions. Read SEC document |
| June 14, 2017 Filed Jun 14, 2017 16:39 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 49,611 | $25.03 | $1,241,852.63 |
DisclosureSEC source: 0001209191-17-039847 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 592,794 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.00 to $25.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 16:39 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 11,389 | $25.47 | $290,073.27 |
DisclosureSEC source: 0001209191-17-039847 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 642,405 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.350 to $25.645, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 12, 2017 Filed Jun 12, 2017 18:12 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 90,303 | $25.28 | $2,282,823.72 |
DisclosureSEC source: 0001209191-17-039273 · doc4.xml · nonDerivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,794 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.25 to $25.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 09, 2017 Filed Jun 12, 2017 18:12 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 2,200 | $25.89 | $56,954.92 |
DisclosureSEC source: 0001209191-17-039273 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,097 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.850 to $26.025, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 18:12 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 130,000 | $26.00 | $3,380,000.00 |
DisclosureSEC source: 0001209191-17-039273 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 746,297 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.0000 to $26.0101, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 07, 2017 Filed Jun 7, 2017 19:01 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 2,000 | $28.04 | $56,079.00 |
DisclosureSEC source: 0001209191-17-038421 · doc4.xml · nonDerivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 876,297 F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.000 to $28.225, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 19:01 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 64,170 | $28.09 | $1,802,490.38 |
DisclosureSEC source: 0001209191-17-038421 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,297 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.73, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 19:01 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | SaleCLASS A COMMON STOCK | 23,327 | $28.67 | $668,824.75 |
DisclosureSEC source: 0001209191-17-038421 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 942,467 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.500 to $28.875, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 11, 2017 Filed May 11, 2017 18:00 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 103,500 | $5.62 | $582,094.35 |
DisclosureSEC source: 0001209191-17-031598 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,351,972 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.550 to $5.800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 10, 2017 Filed May 11, 2017 18:00 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | SaleCommon Stock | 1,500 | $5.74 | $8,608.50 |
DisclosureSEC source: 0001209191-17-031598 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,455,472 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.5525 to $5.9300, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | OtherSeries C Preferred Stock Warrant (Right to Buy) · Derivative | 117,235 | $0.00 Strike: $4.55 | $0.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · derivative · entry 11 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 117,235 shares Expires 2018-11-04 F2 · derivative.exercise_date: Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionSeries D Preferred Stock · Derivative | 673,454 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · derivative · entry 10 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 673,454 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionSeries C-1 Preferred Stock · Derivative | 312,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · derivative · entry 9 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 312,986 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionSeries C Preferred Stock · Derivative | 486,820 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · derivative · entry 8 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 486,820 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionSeries B Preferred Stock · Derivative | 1,428,571 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · derivative · entry 7 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,428,571 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | PurchaseCommon Stock | 50,000 | $15.00 | $750,000.00 |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 6 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,033,504 F3 · shares: Represents a purchase from the underwriters in the Issuer's initial public offering. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | OtherCommon Stock | 81,673 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 5 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,983,504 F2 · shares: Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters. F2 · price: Immediately prior to the IPO Closing, the warrant became exercisable for shares of common stock. The shares acquired upon exercise of the warrant were acquired through a net exercise procedure in accordance with the terms of the warrant and did not involve any sale of shares. All shares received upon such exercise are subject to a lock-up agreement between the Reporting Person and the underwriters. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionCommon Stock | 673,454 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 4 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,901,831 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionCommon Stock | 312,986 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,228,377 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionCommon Stock | 486,820 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,915,391 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 21:22 UTC | ANAPTYSBIO, INC ANAB · Entity 4640 | ConversionCommon Stock | 1,428,571 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-006695 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,428,571 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B Preferred Stock, Series C Preferred Stock, Series C-1 Preferred Stock and Series D Preferred Stock (the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| December 15, 2016 Filed Dec 16, 2016 18:29 UTC | IVERIC bio, Inc. OPHT · Entity 111416 | SaleCommon Stock | 1,405,487 | $4.72 | $6,636,006.87 |
DisclosureSEC source: 0001209191-16-155715 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.53 to $4.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 14, 2016 Filed Dec 16, 2016 18:29 UTC | IVERIC bio, Inc. OPHT · Entity 111416 | SaleCommon Stock | 2,205,000 | $4.97 | $10,962,378.00 |
DisclosureSEC source: 0001209191-16-155715 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,405,487 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.87 to $5.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:54 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-2 Preferred Stock · Derivative | 860,438 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147941 · doc4.xml · derivative · entry 5 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 860,438 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · shares: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:54 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-1 Preferred Stock · Derivative | 924,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147941 · doc4.xml · derivative · entry 4 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 924,970 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · shares: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:54 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | PurchaseCommon Stock | 246,154 | $13.00 | $3,200,002.00 |
DisclosureSEC source: 0001209191-16-147941 · doc4.xml · nonDerivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,031,562 F2 · kind: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:54 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 860,438 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-147941 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,785,408 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 31, 2016 Filed Nov 2, 2016 16:54 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 924,970 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-147941 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,970 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionSeries E Preferred Stock · Derivative | 2,007,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · derivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,007,449 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | PurchaseCommon Stock | 100,000 | $17.00 | $1,700,000.00 |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,124,448 F2 · kind: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionCommon Stock | 2,007,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,024,448 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 11:48 UTC | CoLucid Pharmaceuticals, Inc. CLCD · Entity 12304 | PurchaseCOMMON STOCK | 100,000 | $20.00 | $2,000,000.00 |
DisclosureSEC source: 0001209191-16-141046 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,156,563 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.