Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aptinyx Inc.APTX · Entity 120922 | Director · 10% owner | May 26, 2022 | May 31, 2022 |
| Arcutis Biotherapeutics, Inc.ARQT · Entity 4236 | 10% owner | February 04, 2020 | February 06, 2020 |
| BCLS Acquisition Corp.BLSA · Entity 145747 | Director · 10% owner | October 26, 2020 | October 26, 2020 |
| Kailera Therapeutics, Inc.KLRA · Entity 4435 | Director · 10% owner | April 16, 2026 | April 20, 2026 |
| PTC THERAPEUTICS, INC.PTCT · Entity 3803 | Director | January 03, 2017 | January 06, 2017 |
| RAPID MICRO BIOSYSTEMS, INC.RPID · Entity 6966 | 10% owner | July 19, 2021 | July 21, 2021 |
| Solid Biosciences Inc.SLDB · Entity 4915 | Director · 10% owner | January 11, 2024 | January 12, 2024 |
| SpringWorks Therapeutics, Inc.SWTX · Entity 15910 | 10% owner | August 10, 2021 | August 13, 2021 |
| TREVENA INCTRVN · Entity 85383 | Director | May 16, 2018 | May 17, 2018 |
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.
Aptinyx Inc.
Report date May 26, 2022 · Filed May 31, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2032-05-25 | Direct | 40,000 |
Reported balance
After 2022-05-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-26 · Grant · Acquired 40,000 · Balance 40,000 F1: This option vests in ratable monthly installments over one year from the date of grant, subject to the director's continued service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests in ratable monthly installments over one year from the date of grant, subject to the director's continued service with the Issuer.
Arcutis Biotherapeutics, Inc.
Report date February 04, 2020 · Filed February 06, 2020
Jointly reported with Bain Capital Life Sciences Investors, LLC, Bain Capital Life Sciences Partners, LP, Bain Capital Life Sciences Fund, L.P., BCIP Life Sciences Associates, LP, Schwartz Jeffrey Lawrence
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,825,602 |
Reported balance
After 2020-02-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-02-04 · Conversion · Acquired 2,825,602 · Balance 2,825,602 F1: Each share of the Issuer's Series B Preferred Stock ("Series B Stock") and Series C Preferred Stock ("Series C Stock") automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. The Series B Stock and the Series C Stock each had no expiration date. F2: Represents 2,563,231 shares of Series B Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 262,371 shares of Series B Stock held of record by BCIP Life Sciences Associates, LP. ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,685,175 |
Reported balance
After 2020-02-04 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-02-04 · Conversion · Acquired 859,573 · Balance 3,685,175 F1: Each share of the Issuer's Series B Preferred Stock ("Series B Stock") and Series C Preferred Stock ("Series C Stock") automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. The Series B Stock and the Series C Stock each had no expiration date. F3: Represents 779,758 shares of Series C Stock held of record by BCLS and 79,815 shares of Series C Stock held of record by BCIPLS. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,979,292 |
Reported balance
After 2020-02-04 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-02-04 · Purchase · Acquired 294,117 · Balance 3,979,292 F4: Represents 266,807 and 27,310 shares of Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2020-02-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-04 · Conversion · Disposed 2,825,602 · Balance 0 F1: Each share of the Issuer's Series B Preferred Stock ("Series B Stock") and Series C Preferred Stock ("Series C Stock") automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. The Series B Stock and the Series C Stock each had no expiration date. F2: Represents 2,563,231 shares of Series B Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 262,371 shares of Series B Stock held of record by BCIP Life Sciences Associates, LP. ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2020-02-04 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-04 · Conversion · Disposed 859,573 · Balance 0 F1: Each share of the Issuer's Series B Preferred Stock ("Series B Stock") and Series C Preferred Stock ("Series C Stock") automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. The Series B Stock and the Series C Stock each had no expiration date. F3: Represents 779,758 shares of Series C Stock held of record by BCLS and 79,815 shares of Series C Stock held of record by BCIPLS. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series B Preferred Stock ("Series B Stock") and Series C Preferred Stock ("Series C Stock") automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. The Series B Stock and the Series C Stock each had no expiration date.
F2: Represents 2,563,231 shares of Series B Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 262,371 shares of Series B Stock held of record by BCIP Life Sciences Associates, LP. ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities").
F3: Represents 779,758 shares of Series C Stock held of record by BCLS and 79,815 shares of Series C Stock held of record by BCIPLS.
F4: Represents 266,807 and 27,310 shares of Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering.
F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coninvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dipositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
BCLS Acquisition Corp.
Report date October 26, 2020 · Filed October 26, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A ordinary sharesSEC Table I · non-derivative | IndirectSee Footnote | 487,500 |
Reported balance
After 2020-10-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-10-26 · Grant · Acquired 487,500 · Balance 487,500 F1: The reported Class A ordinary shares were purchased from the Issuer in a private placement by BCLS Acquisition Holdings, LP (the "Sponsor") for $10.00 per share, as described in the Issuer's registration statement on Form S-1 (File No. 333-249284). F2: The shares are held by the Sponsor. The Sponsor is controlled by its general partner, BCLS Acquisition Holdings (GP), LLC (the "General Partner"), which is governed by a board of managers consisting of three managers. Each manager has one vote, and the approval of a majority of the managers is required to approve an action on behalf of the Sponsor. Adam Koppel serves on the board of managers of the General Partner. As a result, Dr. Koppel may be deemed to share beneficial ownership of the shares held by the Sponsor. Dr. Koppel disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported Class A ordinary shares were purchased from the Issuer in a private placement by BCLS Acquisition Holdings, LP (the "Sponsor") for $10.00 per share, as described in the Issuer's registration statement on Form S-1 (File No. 333-249284).
F2: The shares are held by the Sponsor. The Sponsor is controlled by its general partner, BCLS Acquisition Holdings (GP), LLC (the "General Partner"), which is governed by a board of managers consisting of three managers. Each manager has one vote, and the approval of a majority of the managers is required to approve an action on behalf of the Sponsor. Adam Koppel serves on the board of managers of the General Partner. As a result, Dr. Koppel may be deemed to share beneficial ownership of the shares held by the Sponsor. Dr. Koppel disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Kailera Therapeutics, Inc.
Report date April 16, 2026 · Filed April 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 22,583,268 |
Last balance in matching sequence
After 2026-04-20 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2026-04-20 · Conversion · Acquired 16,875,000 · Balance 16,875,000 F1: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Row 2 · 2026-04-20 · Conversion · Acquired 4,145,768 · Balance 21,020,768 F2: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Row 3 · 2026-04-20 · Purchase · Acquired 1,562,500 · Balance 22,583,268 F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2026-04-20 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-04-20 · Conversion · Disposed 16,875,000 · Balance 0 F1: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2026-04-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-04-20 · Conversion · Disposed 4,145,768 · Balance 0 F2: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2036-04-16 | Direct | 38,300 |
Reported balance
After 2026-04-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-04-16 · Grant · Acquired 38,300 · Balance 38,300 F3: The options vest and become exercisable as to 100% of the underlying shares on April 16, 2027, subject to Dr. Koppel's continued service through each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date.
F2: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date.
F3: The options vest and become exercisable as to 100% of the underlying shares on April 16, 2027, subject to Dr. Koppel's continued service through each such vesting date.
F4: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments").
F5: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
PTC THERAPEUTICS, INC.
Report date January 03, 2017 · Filed January 06, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right To Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.23 · Expires 2027-01-02 | Direct | 12,000 |
Reported balance
After 2017-01-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-03 · Grant · Acquired 12,000 · Balance 12,000 F1: This option was granted on January 3, 2017 and vests over one year in twelve equal monthly installments, commencing on February 3, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted on January 3, 2017 and vests over one year in twelve equal monthly installments, commencing on February 3, 2017.
RAPID MICRO BIOSYSTEMS, INC.
Report date July 19, 2021 · Filed July 21, 2021
Jointly reported with Bain Capital Life Sciences Investors, LLC, Bain Capital Life Sciences Partners, LP, Bain Capital Life Sciences Fund, L.P., BCIP Life Sciences Associates, LP, Schwartz Jeffrey Lawrence
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 6,999,998 |
Reported balance
After 2021-07-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-07-19 · Conversion · Acquired 6,999,998 · Balance 6,999,998 F1: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Represents 31,750,072 shares of the Issuer's Series B1 Preferred Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 3,249,929 shares of the Issuer's Series B1 Preferred Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"), which were automatically converted into 6,350,013 and 649,985 shares of the Issuer's Class A Common Stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7: Jeffrey Schwartz is a director of the Issuer. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,334,560 |
Reported balance
After 2021-07-19 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-07-19 · Conversion · Acquired 1,334,562 · Balance 8,334,560 F1: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Represents 6,053,214 shares of the Issuer's Series C1 Preferred Stock held by BCLS and 619,605 shares of the Issuer's Series C1 Preferred Stock held by BCIPLS, which were automatically converted into 1,210,642 and 123,920 shares of the Issuer's Class A Common stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7: Jeffrey Schwartz is a director of the Issuer. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,434,560 |
Reported balance
After 2021-07-19 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2021-07-19 · Purchase · Acquired 100,000 · Balance 8,434,560 F4: Represents 90,714 and 9,286 shares of the Issuer's Class A Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7: Jeffrey Schwartz is a director of the Issuer. |
| Series B1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2021-07-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-07-19 · Conversion · Disposed 35,000,001 · Balance 0 F1: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Represents 31,750,072 shares of the Issuer's Series B1 Preferred Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 3,249,929 shares of the Issuer's Series B1 Preferred Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"), which were automatically converted into 6,350,013 and 649,985 shares of the Issuer's Class A Common Stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7: Jeffrey Schwartz is a director of the Issuer. |
| Series C1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2021-07-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-07-19 · Conversion · Disposed 6,672,819 · Balance 0 F1: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Represents 6,053,214 shares of the Issuer's Series C1 Preferred Stock held by BCLS and 619,605 shares of the Issuer's Series C1 Preferred Stock held by BCIPLS, which were automatically converted into 1,210,642 and 123,920 shares of the Issuer's Class A Common stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7: Jeffrey Schwartz is a director of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering.
F2: Represents 31,750,072 shares of the Issuer's Series B1 Preferred Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 3,249,929 shares of the Issuer's Series B1 Preferred Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"), which were automatically converted into 6,350,013 and 649,985 shares of the Issuer's Class A Common Stock, respectively, immediately prior to the closing of the Issuer's initial public offering.
F3: Represents 6,053,214 shares of the Issuer's Series C1 Preferred Stock held by BCLS and 619,605 shares of the Issuer's Series C1 Preferred Stock held by BCIPLS, which were automatically converted into 1,210,642 and 123,920 shares of the Issuer's Class A Common stock, respectively, immediately prior to the closing of the Issuer's initial public offering.
F4: Represents 90,714 and 9,286 shares of the Issuer's Class A Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering.
F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein.
F7: Jeffrey Schwartz is a director of the Issuer.
Solid Biosciences Inc.
Report date January 11, 2024 · Filed January 12, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 4,034,582 |
Reported balance
After 2024-01-11 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-01-11 · Grant · Acquired 904,160 · Balance 4,034,582 F1: On January 8, 2024, BCLS II Equity Opportunities, LP ("BCLS II Equity") entered into a securities purchase agreement with the Issuer pursuant to which the Issuer agreed to issue and sell 904,160 shares of Common Stock to BCLS II Equity at a price of $5.53 per share (the "January 2024 Private Placement"). The January 2024 Private Placement closed on January 11, 2024. F2: Represents shares of Common Stock held by BCLS SB Investco, LP ("BCLS SB"), Bain Capital Life Sciences Fund II, L.P. ("BCLS Fund II"), BCLS II Investco, LP ("BCLS II Investco"), BCLS II Equity and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity, the "Bain Capital Life Sciences Entities"). Bain Capital Life Sciences Investors, LLC ("BCLSI") (i) is the ultimate general partner of each of BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity and (ii) governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Partner of BCLSI. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 8, 2024, BCLS II Equity Opportunities, LP ("BCLS II Equity") entered into a securities purchase agreement with the Issuer pursuant to which the Issuer agreed to issue and sell 904,160 shares of Common Stock to BCLS II Equity at a price of $5.53 per share (the "January 2024 Private Placement"). The January 2024 Private Placement closed on January 11, 2024.
F2: Represents shares of Common Stock held by BCLS SB Investco, LP ("BCLS SB"), Bain Capital Life Sciences Fund II, L.P. ("BCLS Fund II"), BCLS II Investco, LP ("BCLS II Investco"), BCLS II Equity and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity, the "Bain Capital Life Sciences Entities"). Bain Capital Life Sciences Investors, LLC ("BCLSI") (i) is the ultimate general partner of each of BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity and (ii) governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Partner of BCLSI. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
SpringWorks Therapeutics, Inc.
Report date August 10, 2021 · Filed August 13, 2021
Jointly reported with Bain Capital Life Sciences Investors, LLC, BC SW, LP, Schwartz Jeffrey Lawrence
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 4,831,307 |
Reported balance
After 2021-08-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-08-10 · Sale · Disposed 1,000,000 · Balance 4,831,307 F1: Represents shares of common stock held directly by BC SW, LP. F2: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BC SW, LP. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC SW, LP. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F3: Jeffrey Schwartz is a director of the Issuer. |
| Common StockSEC Table I · non-derivative | Direct | 1,106 |
Reported balance
Holding disclosure · report date 2021-08-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,106 F4: Represents a restricted stock award held directly by Jeffrey Schwartz. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock held directly by BC SW, LP.
F2: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BC SW, LP. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC SW, LP. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein.
F3: Jeffrey Schwartz is a director of the Issuer.
F4: Represents a restricted stock award held directly by Jeffrey Schwartz.
TREVENA INC
Report date May 16, 2018 · Filed May 17, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.84 · Expires 2028-05-16 | Direct | 30,000 |
Reported balance
After 2018-05-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-05-16 · Grant · Acquired 30,000 · Balance 30,000 F1: The shares subject to the option shall vest in full on the day immediately prior to the next annual stockholders' meeting, subject to the reporting person's continuous service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall vest in full on the day immediately prior to the next annual stockholders' meeting, subject to the reporting person's continuous service through such vesting date.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Annexon, Inc.
Report date July 28, 2020 · Filed July 28, 2020
Jointly reported with Bain Capital Life Sciences Investors, LLC, Bain Capital Life Sciences Fund, L.P., BCIP Life Sciences Associates, LP, Bain Capital Life Sciences Partners, LP, Schwartz Jeffrey Lawrence
Section 16 reporting ended · disclosed 2020-07-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,522,385 |
Reported balance
After 2020-07-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-07-28 · Conversion · Acquired 2,522,385 · Balance 2,522,385 F1: Each share of Series C Preferred Stock ("Series C Stock") and Series D Preferred Stock ("Series D Stock") automatically converted on a 1-for-8.81 basis into the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Represents 20,158,775 shares of Series C Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 2,063,446 shares of Series C Stock held of record by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,841,628 |
Reported balance
After 2020-07-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-07-28 · Conversion · Acquired 319,243 · Balance 2,841,628 F1: Each share of Series C Preferred Stock ("Series C Stock") and Series D Preferred Stock ("Series D Stock") automatically converted on a 1-for-8.81 basis into the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Represents 2,551,384 shares of Series D Stock held of record by BCLS and 261,159 shares of Series D Stock held of record by BCIPLS. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,241,628 |
Reported balance
After 2020-07-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-07-28 · Purchase · Acquired 400,000 · Balance 3,241,628 F4: Represents 362,858 and 37,142 shares of the Issuer's Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2020-07-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-28 · Conversion · Disposed 22,222,221 · Balance 0 F1: Each share of Series C Preferred Stock ("Series C Stock") and Series D Preferred Stock ("Series D Stock") automatically converted on a 1-for-8.81 basis into the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Represents 20,158,775 shares of Series C Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 2,063,446 shares of Series C Stock held of record by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2020-07-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-28 · Conversion · Disposed 2,812,543 · Balance 0 F1: Each share of Series C Preferred Stock ("Series C Stock") and Series D Preferred Stock ("Series D Stock") automatically converted on a 1-for-8.81 basis into the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Represents 2,551,384 shares of Series D Stock held of record by BCLS and 261,159 shares of Series D Stock held of record by BCIPLS. F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series C Preferred Stock ("Series C Stock") and Series D Preferred Stock ("Series D Stock") automatically converted on a 1-for-8.81 basis into the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering.
F2: Represents 20,158,775 shares of Series C Stock held of record by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 2,063,446 shares of Series C Stock held of record by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities").
F3: Represents 2,551,384 shares of Series D Stock held of record by BCLS and 261,159 shares of Series D Stock held of record by BCIPLS.
F4: Represents 362,858 and 37,142 shares of the Issuer's Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering.
F5: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
F6: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power over the shares held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
Cerevel Therapeutics Holdings, Inc.
Report date August 01, 2024 · Filed August 05, 2024
Section 16 reporting ended · disclosed 2024-08-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-08-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-08-01 · Disposition to issuer · Disposed 3,282 · Balance 10,461 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. Row 2 · 2024-08-01 · Disposition to issuer · Disposed 10,461 · Balance 0 F2: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was canceled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2024-08-01 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2024-08-01 · Disposition to issuer · Disposed 65,679,781 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. F4: Represents shares of common stock held directly by BC Perception Holdings, LP ("BC Perception"). Adam Koppel is a Partner of Bain Capital Life Sciences Investors, LLC. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-08-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-08-01 · Disposition to issuer · Disposed 80,189 · Balance 0 F3: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.
F2: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was canceled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration.
F3: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement.
F4: Represents shares of common stock held directly by BC Perception Holdings, LP ("BC Perception"). Adam Koppel is a Partner of Bain Capital Life Sciences Investors, LLC. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
Dicerna Pharmaceuticals Inc
Report date December 28, 2021 · Filed December 29, 2021
Section 16 reporting ended · disclosed 2021-12-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Other · Disposed 3,333 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2021-12-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-12-28 · Other · Disposed 3,080,237 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F2: Represents shares of common stock held directly by Bain Capital Life Sciences Fund, L.P. ("BCLS") and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F3: Bain Capital Life Sciences Investors, LLC ("BCLSI") is the ultimate general partner of BCLS and governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Managing Director of BCLSI. By virtue of the relationships described in this footnote, Dr. Koppel may be deemed to share voting and dispositive power with respect to the Shares held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-12-28 · Disposition to issuer · Disposed 3,333 · Balance 0 F4: Each restricted stock unit ("RSU") represents the contingent right to receive one Share. F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.42 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-28 · Disposition to issuer · Disposed 25,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-28 · Disposition to issuer · Disposed 25,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.08 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-12-28 · Disposition to issuer · Disposed 25,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.44 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-12-28 · Disposition to issuer · Disposed 25,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.61 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-12-28 · Disposition to issuer · Disposed 15,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.47 | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-12-28 · Disposition to issuer · Disposed 15,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled.
F2: Represents shares of common stock held directly by Bain Capital Life Sciences Fund, L.P. ("BCLS") and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities").
F3: Bain Capital Life Sciences Investors, LLC ("BCLSI") is the ultimate general partner of BCLS and governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Managing Director of BCLSI. By virtue of the relationships described in this footnote, Dr. Koppel may be deemed to share voting and dispositive power with respect to the Shares held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F4: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.
F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting).
F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting).
Foghorn Therapeutics Inc.
Report date December 29, 2024 · Filed December 30, 2024
Section 16 reporting ended · disclosed 2024-12-30. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
MARINUS PHARMACEUTICALS, INC.
Report date December 15, 2017 · Filed December 20, 2017
Jointly reported with Bain Capital Life Sciences Investors, LLC, Bain Capital Life Sciences Partners, LP, Bain Capital Life Sciences Fund, L.P., BCIP Life Sciences Associates, LP, Schwartz Jeffrey Lawrence
Section 16 reporting ended · disclosed 2017-12-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 3,977,453 |
Last balance in matching sequence
After 2017-12-19 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2017-12-15 · Sale · Disposed 719,665 · Balance 4,530,335 F1: On December 15, 2017, Bain Capital Life Sciences Fund, L.P. ("BC LS") and BCIP Life Sciences Associates, LP ("BCIP LS" and, together with BC LS, the "Bain Life Sciences Entities") sold 652,840 and 66,825 shares of common stock, respectively, at a weighted average price of $8.0179. The shares were sold in multiple transactions at prices ranging from $7.89 to $8.495. Following such sales, BC LS and BCIP LS held 4,109,671 and 420,664 shares of common stock, respectively. F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4. F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS. F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Row 2 · 2017-12-15 · Sale · Disposed 102,882 · Balance 4,427,453 F2: On December 15, 2017, BC LS and BCIP LS sold 93,329 and 9,553 shares of common stock, respectively, at a weighted average price of $8.636. The shares were sold in multiple transactions at prices ranging from $8.50 to $9.045. Following such sales, BC LS and BCIP LS held 4,016,342 and 411,111 shares of common stock, respectively. F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4. F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS. F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Row 3 · 2017-12-18 · Sale · Disposed 300,000 · Balance 4,127,453 F3: On December 18, 2017, BC LS and BCIP LS sold 272,143 and 27,857 shares of common stock, respectively, at a weighted average price of $7.5048. The shares were sold in multiple transactions at prices ranging from $7.05 to $7.905. Following such sales, BC LS and BCIP LS held 3,744,199 and 383,254 shares of common stock, respectively. F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4. F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS. F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Row 4 · 2017-12-19 · Sale · Disposed 94,771 · Balance 4,032,682 F4: On December 19, 2017, BC LS and BCIP LS sold 85,971 and 8,800 shares of common stock, respectively, at a weighted average price of $7.6209. The shares were sold in multiple transactions at prices ranging from $7.50 to $8.02. Following such sales, BC LS and BCIP LS held 3,658,228 and 374,454 shares of common stock, respectively. F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4. F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS. F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. Row 5 · 2017-12-19 · Sale · Disposed 55,229 · Balance 3,977,453 F5: On December 19, 2017, BC LS and BCIP LS sold 50,101 and 5,128 shares of common stock, respectively, at a weighted average price of $7.1055. The shares were sold in multiple transactions at prices ranging from $6.86 to $7.498. Following such sales, BC LS and BCIP LS held 3,608,127 and 369,326 shares of common stock, respectively. F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4. F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS. F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 15, 2017, Bain Capital Life Sciences Fund, L.P. ("BC LS") and BCIP Life Sciences Associates, LP ("BCIP LS" and, together with BC LS, the "Bain Life Sciences Entities") sold 652,840 and 66,825 shares of common stock, respectively, at a weighted average price of $8.0179. The shares were sold in multiple transactions at prices ranging from $7.89 to $8.495. Following such sales, BC LS and BCIP LS held 4,109,671 and 420,664 shares of common stock, respectively.
F2: On December 15, 2017, BC LS and BCIP LS sold 93,329 and 9,553 shares of common stock, respectively, at a weighted average price of $8.636. The shares were sold in multiple transactions at prices ranging from $8.50 to $9.045. Following such sales, BC LS and BCIP LS held 4,016,342 and 411,111 shares of common stock, respectively.
F3: On December 18, 2017, BC LS and BCIP LS sold 272,143 and 27,857 shares of common stock, respectively, at a weighted average price of $7.5048. The shares were sold in multiple transactions at prices ranging from $7.05 to $7.905. Following such sales, BC LS and BCIP LS held 3,744,199 and 383,254 shares of common stock, respectively.
F4: On December 19, 2017, BC LS and BCIP LS sold 85,971 and 8,800 shares of common stock, respectively, at a weighted average price of $7.6209. The shares were sold in multiple transactions at prices ranging from $7.50 to $8.02. Following such sales, BC LS and BCIP LS held 3,658,228 and 374,454 shares of common stock, respectively.
F5: On December 19, 2017, BC LS and BCIP LS sold 50,101 and 5,128 shares of common stock, respectively, at a weighted average price of $7.1055. The shares were sold in multiple transactions at prices ranging from $6.86 to $7.498. Following such sales, BC LS and BCIP LS held 3,608,127 and 369,326 shares of common stock, respectively.
F6: Each of the Bain Life Sciences Entities 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 footnotes (1) through (5) to this Form 4.
F7: Bain Capital Life Sciences Investors, LLC ("BCI LS") is the general partner of Bain Capital Life Sciences Partners, LP ("BC LS P"), which is the general partner of BC LS. As a result, BC LS P may be deemed to share voting and dispositive power with respect to the securities held by BC LS.
F8: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Life Sciences Entities is directed by BCI LS, whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
Replimune Group, Inc.
Report date July 24, 2018 · Filed July 26, 2018
Jointly reported with Bain Capital Life Sciences Investors, LLC, Bain Capital Life Sciences Partners, LP, Bain Capital Life Sciences Fund, L.P., BCIP Life Sciences Associates, LP, Schwartz Jeffrey Lawrence
Section 16 reporting ended · disclosed 2018-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,338,968 |
Reported balance
After 2018-07-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-07-24 · Conversion · Acquired 2,338,968 · Balance 2,338,968 F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1-for-9.94688 basis upon the consummation of the Issuer's initial public offering without payment or additional consideration. The shares of Series B Convertible Preferred Stock had no expiration date. F1: Represents shares held directly by Bain Capital Life Sciences Fund, L.P. and BCIP Life Sciences Associates, LP (collectively, the "Bain Life Sciences Entities"). F2: The governance, investment strategy and decision-making process with respect to investments held by the Bain Life Sciences Entities is directed by Bain Capital Life Sciences Investors, LLC ("BCI LS"), whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,838,968 |
Reported balance
After 2018-07-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-07-24 · Purchase · Acquired 500,000 · Balance 2,838,968 F4: On July 24, 2018, the Bain Life Sciences Entities purchased, in aggregate, 500,000 shares of Common Stock of the Issuer at a price of $15 per share, pursuant to an underwritten public offering. F1: Represents shares held directly by Bain Capital Life Sciences Fund, L.P. and BCIP Life Sciences Associates, LP (collectively, the "Bain Life Sciences Entities"). F2: The governance, investment strategy and decision-making process with respect to investments held by the Bain Life Sciences Entities is directed by Bain Capital Life Sciences Investors, LLC ("BCI LS"), whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2018-07-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-24 · Conversion · Disposed 235,146 · Balance 0 F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1-for-9.94688 basis upon the consummation of the Issuer's initial public offering without payment or additional consideration. The shares of Series B Convertible Preferred Stock had no expiration date. F1: Represents shares held directly by Bain Capital Life Sciences Fund, L.P. and BCIP Life Sciences Associates, LP (collectively, the "Bain Life Sciences Entities"). F2: The governance, investment strategy and decision-making process with respect to investments held by the Bain Life Sciences Entities is directed by Bain Capital Life Sciences Investors, LLC ("BCI LS"), whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares held directly by Bain Capital Life Sciences Fund, L.P. and BCIP Life Sciences Associates, LP (collectively, the "Bain Life Sciences Entities").
F2: The governance, investment strategy and decision-making process with respect to investments held by the Bain Life Sciences Entities is directed by Bain Capital Life Sciences Investors, LLC ("BCI LS"), whose managers are Jeffrey Schwartz and Adam Koppel. As a result, BCI LS, Mr. Schwartz and Dr. Koppel may each be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. BCI LS, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
F3: Each share of Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1-for-9.94688 basis upon the consummation of the Issuer's initial public offering without payment or additional consideration. The shares of Series B Convertible Preferred Stock had no expiration date.
F4: On July 24, 2018, the Bain Life Sciences Entities purchased, in aggregate, 500,000 shares of Common Stock of the Issuer at a price of $15 per share, pursuant to an underwritten 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 |
|---|---|---|---|---|---|---|
| April 20, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | ConversionSeries B Preferred Stock · Derivative | 4,145,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · derivative · entry 5 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 4,145,768 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F2 · derivative.exercise_date: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F2 · derivative.expiration_date: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4 · ownership.nature: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5 · ownership.nature: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 20, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | ConversionSeries A-1 Preferred Stock · Derivative | 16,875,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · derivative · entry 4 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 16,875,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4 · ownership.nature: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5 · ownership.nature: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 20, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | PurchaseCommon Stock | 1,562,500 | $16.00 | $25,000,000.00 |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · nonDerivative · entry 3 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 22,583,268 F4 · ownership.nature: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5 · ownership.nature: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 20, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | ConversionCommon Stock | 4,145,768 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · nonDerivative · entry 2 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 21,020,768 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4 · ownership.nature: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5 · ownership.nature: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 20, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | ConversionCommon Stock | 16,875,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 16,875,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series A-1 Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1:1 basis upon the closing of the Issuer's initial public offering. These securities had no expiration date. F4 · ownership.nature: Represents securities held directly by BCLS Fund IV Investments, LP ("BCLS Fund IV Investments"). F5 · ownership.nature: Dr. Koppel is a Partner of Bain Capital Life Sciences Investors, LLC ("BCLSI"). BCLSI is the ultimate general partner of BCLS Fund IV Investments. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund IV Investments. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| April 16, 2026 Filed Apr 20, 2026 22:08 UTC | Kailera Therapeutics, Inc. KLRA · Entity 4435 | GrantStock Option (right to buy) · Derivative | 38,300 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001193125-26-164407 · ownership.xml · derivative · entry 6 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,300 Underlying: Common Stock · 38,300 shares Expires 2036-04-16 F3 · derivative.exercise_date: The options vest and become exercisable as to 100% of the underlying shares on April 16, 2027, subject to Dr. Koppel's continued service through each such vesting date. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 16:49 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | Disposition to issuerStock Option (Right to Buy) · Derivative | 80,189 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-090903 · ownership.xml · derivative · entry 4 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,189 shares Expires not disclosed F3 · derivative.exercise_price: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement. F3 · price: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement. F3 · derivative.exercise_date: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement. F3 · derivative.expiration_date: At the Effective Time, each outstanding option, whether vested or unvested, was cancelled and converted into the right to receive an amount of cash equal to the product of (i) the aggregate number of common stock underlying such option immediately prior to the Effective Time, multiplied by (ii) the amount, if any, by which the Merger Consideration exceeds the exercise price per share of such option, subject to any applicable withholding taxes and in accordance with the terms of the Merger Agreement. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 16:49 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | Disposition to issuerCommon Stock | 65,679,781 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-090903 · ownership.xml · nonDerivative · entry 3 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. F4 · ownership.nature: Represents shares of common stock held directly by BC Perception Holdings, LP ("BC Perception"). Adam Koppel is a Partner of Bain Capital Life Sciences Investors, LLC. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 16:49 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | Disposition to issuerCommon Stock | 10,461 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-090903 · ownership.xml · nonDerivative · entry 2 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · shares: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was canceled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration. F2 · price: These shares are represented by restricted stock units ("RSUs"). At the Effective Time, each outstanding award of RSUs was canceled and converted into the right to receive an amount in cash equal to the product of the aggregate number of shares underlying such RSU immediately prior to the Effective Time, multiplied by the Merger Consideration. Read SEC document |
| August 01, 2024 Filed Aug 5, 2024 16:49 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | Disposition to issuerCommon Stock | 3,282 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-090903 · ownership.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,461 F1 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("Parent"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of Parent upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest. Read SEC document |
| June 26, 2024 Filed Jun 28, 2024 20:00 UTC | Foghorn Therapeutics Inc. FHTX · Entity 5820 | GrantStock Options (Right to buy) · Derivative | 16,000 | $5.52 Strike: $5.52 | $88,320.00 |
DisclosureSEC source: 0001562180-24-005356 · primarydocument.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2034-06-25 Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 17:12 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | GrantCommon Stock | 10,461 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-24-070855 · ownership.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,743 F1 · shares: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the 2025 annual meeting of stockholders of the Company. F1 · price: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the 2025 annual meeting of stockholders of the Company. Read SEC document |
| January 11, 2024 Filed Jan 12, 2024 21:56 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantCommon Stock | 904,160 | $5.53 | $5,000,004.80 |
DisclosureSEC source: 0000950170-24-004276 · ownership.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 4,034,582 F1 · kind: On January 8, 2024, BCLS II Equity Opportunities, LP ("BCLS II Equity") entered into a securities purchase agreement with the Issuer pursuant to which the Issuer agreed to issue and sell 904,160 shares of Common Stock to BCLS II Equity at a price of $5.53 per share (the "January 2024 Private Placement"). The January 2024 Private Placement closed on January 11, 2024. F2 · ownership.nature: Represents shares of Common Stock held by BCLS SB Investco, LP ("BCLS SB"), Bain Capital Life Sciences Fund II, L.P. ("BCLS Fund II"), BCLS II Investco, LP ("BCLS II Investco"), BCLS II Equity and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity, the "Bain Capital Life Sciences Entities"). Bain Capital Life Sciences Investors, LLC ("BCLSI") (i) is the ultimate general partner of each of BCLS SB, BCLS Fund II, BCLS II Investco and BCLS II Equity and (ii) governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Partner of BCLSI. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| October 16, 2023 Filed Oct 18, 2023 16:30 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | PurchaseCommon Stock | 5,480,052 | $22.81 | $124,999,986.12 |
DisclosureSEC source: 0000899243-23-019971 · doc4.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 65,679,781 F2 · shares: On October 16, 2023, BC Perception purchased 5,480,052 shares of the Issuer's common stock at a price of $22.81 per share in an underwritten public offering. F1 · ownership.nature: Represents shares of the Issuer's common stock held directly by BC Perception Holdings, LP ("BC Perception"). Adam Koppel is a Partner of Bain Capital Life Sciences Investors, LLC. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 00:12 UTC | Foghorn Therapeutics Inc. FHTX · Entity 5820 | GrantStock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $8.70 | $0.00 |
DisclosureSEC source: 0001562180-23-005476 · primarydocument.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2033-06-20 Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 17:07 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | GrantStock Option (Right to Buy) · Derivative | 13,780 | $0.00 Strike: $32.60 | $0.00 |
DisclosureSEC source: 0000899243-23-015220 · doc4.xml · derivative · entry 3 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,780 Underlying: Common Stock · 13,780 shares Expires 2033-06-07 F2 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 17:07 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | OtherCommon Stock | 432,627 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-015220 · doc4.xml · nonDerivative · entry 2 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 60,199,729 F3 · kind: On June 7, 2023, BC Perception Holdings, LP ("BC Perception") distributed an aggregate of 432,627 shares of the Issuer's common stock (the "Distributed Shares") to certain of its limited partners in a pro-rata in-kind distribution to such limited partners in connection with a redemption of their partnership interests. Dr. Koppel did not have a pecuniary interest in any of the Distributed Shares. F4 · ownership.nature: Adam Koppel is a Partner of Bain Capital Life Sciences Investors, LLC, which is the ultimate general partner of Bain Capital Life Sciences Fund, L.P. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC Perception. Dr. Koppel disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 17:07 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | GrantCommon Stock | 3,282 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015220 · doc4.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,282 F1 · shares: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date. F1 · price: The shares reported in this transaction represent Restricted Stock Units ("RSUs") granted under the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of the Issuer's common stock. 100% of the RSUs subject to this grant shall vest upon the earlier of: (i) the one-year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 21:01 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantDirector Stock Option (Right to Buy) · Derivative | 9,650 | $0.00 Strike: $6.37 | $0.00 |
DisclosureSEC source: 0000950170-23-027058 · ownership.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,650 Underlying: Common Stock · 9,650 shares Expires 2033-06-06 F1 · derivative.exercise_date: This option was granted on June 6, 2023 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. Read SEC document |
| December 13, 2022 Filed Dec 15, 2022 23:19 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantDirector Stock Option (Right to Buy) · Derivative | 9,650 | $0.00 Strike: $6.47 | $0.00 |
DisclosureSEC source: 0000899243-22-038700 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,650 Underlying: Common Stock · 9,650 shares Expires 2032-12-13 F1 · derivative.exercise_date: This option was granted on December 13, 2022 and vests in full on the one-year anniversary of the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 22:16 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantDirector Stock Option (Right to Buy) · Derivative | 2,666 | $0.00 Strike: $6.77 | $0.00 |
DisclosureSEC source: 0000899243-22-037648 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,666 Underlying: Common Stock · 2,666 shares Expires 2032-12-01 F1 · derivative.exercise_date: This option was granted on December 2, 2022 and vests in full on the one-year anniversary of the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. Read SEC document |
| June 21, 2022 Filed Jun 23, 2022 00:59 UTC | Foghorn Therapeutics Inc. FHTX · Entity 5820 | GrantStock Options (Right to buy) · Derivative | 16,000 | $0.00 Strike: $13.81 | $0.00 |
DisclosureSEC source: 0001562180-22-005314 · primarydocument.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2032-06-20 Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 17:10 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | GrantStock Option (Right to Buy) · Derivative | 23,459 | $0.00 Strike: $24.35 | $0.00 |
DisclosureSEC source: 0000899243-22-022864 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,459 Underlying: Common Stock · 23,459 shares Expires 2032-06-14 F1 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date. Read SEC document |
| May 26, 2022 Filed May 31, 2022 17:06 UTC | Aptinyx Inc. APTX · Entity 120922 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0000899243-22-020206 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-05-25 F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant, subject to the director's continued service with the Issuer. Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 15,000 | Not disclosed Strike: $30.47 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 9 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 15,000 | Not disclosed Strike: $21.61 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 8 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $15.44 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 7 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $13.08 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 6 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $3.47 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 5 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 25,000 | Not disclosed Strike: $3.42 | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 4 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires not disclosed F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") that was outstanding and unexercised was cancelled and converted into the right to receive a cash payment equal to (A) the excess, if any, of (x) the Offer Price over (y) the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Disposition to issuerRestricted Stock Units · Derivative | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · derivative · entry 3 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share. F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each RSU that was then outstanding was cancelled and converted into the right to receive a cash payment equal to (A) the Offer Price multiplied by (B) the total number of Shares subject to such Issuer RSU immediately prior to the Effective Time (without regard to vesting). Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | OtherCommon Stock | 3,080,237 | $38.25 | $117,819,065.25 |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · nonDerivative · entry 2 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F2 · ownership.nature: Represents shares of common stock held directly by Bain Capital Life Sciences Fund, L.P. ("BCLS") and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). F3 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI") is the ultimate general partner of BCLS and governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Koppel is a Managing Director of BCLSI. By virtue of the relationships described in this footnote, Dr. Koppel may be deemed to share voting and dispositive power with respect to the Shares held by the Bain Capital Life Sciences Entities. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 16:43 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | OtherCommon Stock | 3,333 | $38.25 | $127,487.25 |
DisclosureSEC source: 0000899243-21-050036 · doc4.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 17, 2021, by and among the Issuer, Novo Nordisk A/S, a Danish aktieselskab ("Novo"), and NNUS New Research, Inc., a Delaware corporation and a wholly owned indirect subsidiary of Novo ("Purchaser"), to which Purchaser completed a tender offer for shares of common stock of the Issuer, $0.0001 par value per share (each, a "Share"), and thereafter merged with and into the Issuer (the "Merger") effective as of December 28, 2021 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was converted into the right to receive $38.25 per Share, in cash, without interest (the "Offer Price") and subject to any withholding of taxes, upon the terms and subject to the conditions of the Merger Agreement. From and after the Effective Time, all Shares were no longer outstanding and were automatically cancelled. Read SEC document |
| August 10, 2021 Filed Aug 13, 2021 00:38 UTC | SpringWorks Therapeutics, Inc. SWTX · Entity 15910 | SaleCommon Stock | 1,000,000 | $70.25 | $70,250,000.00 |
DisclosureSEC source: 0000899243-21-032893 · doc4.xml · nonDerivative · entry 1 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner BC SW, LP · CIK 0001786351 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,831,307 F1 · ownership.nature: Represents shares of common stock held directly by BC SW, LP. F2 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BC SW, LP. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC SW, LP. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F3 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 20:40 UTC | RAPID MICRO BIOSYSTEMS, INC. RPID · Entity 6966 | ConversionSeries C1 Preferred Stock · Derivative | 6,672,819 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-029222 · doc4.xml · derivative · entry 5 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Class A Common Stock · 1,334,562 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · ownership.nature: Represents 6,053,214 shares of the Issuer's Series C1 Preferred Stock held by BCLS and 619,605 shares of the Issuer's Series C1 Preferred Stock held by BCIPLS, which were automatically converted into 1,210,642 and 123,920 shares of the Issuer's Class A Common stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 20:40 UTC | RAPID MICRO BIOSYSTEMS, INC. RPID · Entity 6966 | ConversionSeries B1 Preferred Stock · Derivative | 35,000,001 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-029222 · doc4.xml · derivative · entry 4 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Class A Common Stock · 6,999,998 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Represents 31,750,072 shares of the Issuer's Series B1 Preferred Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 3,249,929 shares of the Issuer's Series B1 Preferred Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"), which were automatically converted into 6,350,013 and 649,985 shares of the Issuer's Class A Common Stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 20:40 UTC | RAPID MICRO BIOSYSTEMS, INC. RPID · Entity 6966 | PurchaseClass A Common Stock | 100,000 | $20.00 | $2,000,000.00 |
DisclosureSEC source: 0000899243-21-029222 · doc4.xml · nonDerivative · entry 3 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,434,560 F4 · ownership.nature: Represents 90,714 and 9,286 shares of the Issuer's Class A Common Stock purchased by BCLS and BCIPLS, respectively, in the Issuer's initial public offering. F5 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 20:40 UTC | RAPID MICRO BIOSYSTEMS, INC. RPID · Entity 6966 | ConversionClass A Common Stock | 1,334,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-029222 · doc4.xml · nonDerivative · entry 2 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,334,560 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · ownership.nature: Represents 6,053,214 shares of the Issuer's Series C1 Preferred Stock held by BCLS and 619,605 shares of the Issuer's Series C1 Preferred Stock held by BCIPLS, which were automatically converted into 1,210,642 and 123,920 shares of the Issuer's Class A Common stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 20:40 UTC | RAPID MICRO BIOSYSTEMS, INC. RPID · Entity 6966 | ConversionClass A Common Stock | 6,999,998 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-029222 · doc4.xml · nonDerivative · entry 1 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner Bain Capital Life Sciences Partners, LP · CIK 0001703030 · 10% owner Bain Capital Life Sciences Fund, L.P. · CIK 0001687968 · 10% owner BCIP Life Sciences Associates, LP · CIK 0001702921 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 6,999,998 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the Issuer's Series B1 Preferred Stock and Series C1 Preferred Stock automatically converted into 0.2 of a share of the Issuer's Class A Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Represents 31,750,072 shares of the Issuer's Series B1 Preferred Stock held by Bain Capital Life Sciences Fund, L.P. ("BCLS") and 3,249,929 shares of the Issuer's Series B1 Preferred Stock held by BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"), which were automatically converted into 6,350,013 and 649,985 shares of the Issuer's Class A Common Stock, respectively, immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: Bain Capital Life Sciences Partners, LP ("BCLSP") is the general partner of BCLS. As a result, BCLSP may be deemed to share voting and dispositive power with respect to the securities held by BCLS. BCLSP disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. F6 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BCLSP and governs the investment strategy and decision-making process with respect to investments held by BCIPLS, whose general partner is Boylston Coinvestors, LLC. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by the Bain Capital Life Sciences Entities. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of its or their pecuniary interest therein. F7 · ownership.nature: Jeffrey Schwartz is a director of the Issuer. Read SEC document |
| July 13, 2021 Filed Jul 14, 2021 20:53 UTC | Foghorn Therapeutics Inc. FHTX · Entity 5820 | GrantStock Option (right to buy) · Derivative | 12,530 | $0.00 Strike: $9.40 | $0.00 |
DisclosureSEC source: 0001562180-21-004935 · primarydocument.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,530 Underlying: Common Stock · 12,530 shares Expires 2031-07-12 F1 · derivative.exercise_date: The options will vest in full on the first anniversary of the date of grant, subject to the director's continued service on our Board of Directors. Read SEC document |
| June 16, 2021 Filed Jun 21, 2021 21:15 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantDirector Stock Option (Right To Buy) · Derivative | 30,000 | $0.00 Strike: $3.94 | $0.00 |
DisclosureSEC source: 0000899243-21-025027 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-06-16 F1 · derivative.exercise_date: This option was granted on June 16, 2021 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 20:25 UTC | Cerevel Therapeutics Holdings, Inc. CERE · Entity 15182 | GrantStock Option (Right to Buy) · Derivative | 42,950 | $0.00 Strike: $13.93 | $0.00 |
DisclosureSEC source: 0000899243-21-023729 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,950 Underlying: Common Stock · 42,950 shares Expires 2031-06-10 F1 · derivative.exercise_date: 100% of the shares subject to this option shall vest and become exercisable on the earlier of: (i) the one year anniversary of the Grant Date, or (ii) the next annual meeting of stockholders of the Company occurring after the Grant Date. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 18:50 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantDirector Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $30.47 | $0.00 |
DisclosureSEC source: 0000899243-21-022369 · doc4.xml · derivative · entry 5 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-02 F2 · derivative.exercise_date: This option vests in equal monthly installments over 12 months from the date of grant , provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through each applicable vesting date. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 18:50 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-022369 · doc4.xml · derivative · entry 4 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,333 shares Expires not disclosed F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 18:50 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-022369 · doc4.xml · derivative · entry 3 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 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: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") that vest in full on the earlier of (i) 12 months from the date of grant and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such vesting date. Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs do not expire. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 18:50 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | Exercise / conversionCommon Stock | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-022369 · doc4.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 27, 2021 Filed Jun 1, 2021 16:30 UTC | Aptinyx Inc. APTX · Entity 120922 | GrantStock Option(Right Buy) · Derivative | 40,000 | $0.00 Strike: $2.59 | $0.00 |
DisclosureSEC source: 0000899243-21-021320 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-05-26 F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant, subject to the director's continued service with the Issuer. Read SEC document |
| March 23, 2021 Filed Mar 25, 2021 20:30 UTC | Solid Biosciences Inc. SLDB · Entity 4915 | GrantCommon Stock | 869,565 | $5.75 | $4,999,998.75 |
DisclosureSEC source: 0000899243-21-013476 · doc4.xml · nonDerivative · entry 1 Koppel Adam · CIK 0001578965 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,929,918 F3 · kind: On March 23, 2021, BCLS purchased 869,565 shares of common stock of the Issuer at a price per share of $5.75, pursuant to an underwritten public offering. F3 · shares: On March 23, 2021, BCLS purchased 869,565 shares of common stock of the Issuer at a price per share of $5.75, pursuant to an underwritten public offering. F1 · ownership.nature: Represents shares of common stock held directly by BCLS SB Investco, LP ("BCLS"). F2 · ownership.nature: Bain Capital Life Sciences Investors, LLC, whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of Bain Capital Life Sciences Partners, LP, which is the general partner of BCLS. As a result, Dr. Koppel may be deemed to share voting and dispositive power with respect to the shares of common stock held by BCLS. Dr. Koppel disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 21:30 UTC | SpringWorks Therapeutics, Inc. SWTX · Entity 15910 | SaleCommon Stock | 1,450,000 | $71.50 | $103,675,000.00 |
DisclosureSEC source: 0000899243-21-011153 · doc4.xml · nonDerivative · entry 1 Bain Capital Life Sciences Investors, LLC · CIK 0001703031 · 10% owner BC SW, LP · CIK 0001786351 · 10% owner Schwartz Jeffrey Lawrence · CIK 0001702957 · Director · 10% owner Koppel Adam · CIK 0001578965 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,831,307 F1 · ownership.nature: Represents shares of common stock held directly by BC SW, LP. F2 · ownership.nature: Bain Capital Life Sciences Investors, LLC ("BCLSI"), whose managers are Jeffrey Schwartz and Adam Koppel, is the general partner of BC SW, LP. As a result, each of BCLSI, Mr. Schwartz and Dr. Koppel may be deemed to share voting and dispositive power with respect to the securities held by BC SW, LP. BCLSI, Mr. Schwartz and Dr. Koppel each disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. F3 · ownership.nature: Mr. Schwartz is a director of the Issuer. Read SEC document |
| December 31, 2020 Filed Jan 5, 2021 16:44 UTC | Aptinyx Inc. APTX · Entity 120922 | GrantStock Option (Right Buy) · Derivative | 5,508 | $2.22 Strike: $3.46 | $12,249.79 |
DisclosureSEC source: 0000899243-21-000400 · doc4.xml · derivative · entry 1 Koppel Adam · CIK 0001578965 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,508 Underlying: Common Stock · 5,508 shares Expires 2030-12-30 F2 · price: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's nonemployee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant. F1 · derivative.exercise_date: This option is fully vested at time of grant. 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.