Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allakos Inc.ALLK · Entity 79644 | Director | May 25, 2023 | May 30, 2023 |
| Esperion Therapeutics, Inc.ESPR · Entity 30796 | Director | May 27, 2021 | May 28, 2021 |
| Krystal Biotech, Inc.KRYS · Entity 3500 | Director | September 14, 2026 | September 17, 2026 |
| SUTRO BIOPHARMA, INC.STRO · Entity 5797 | Director | June 17, 2019 | June 19, 2019 |
| VIVEVE MEDICAL, INC.VIVE · Entity 11899 | Director | December 31, 2018 | January 02, 2019 |
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.
Allakos Inc.
Report date May 25, 2023 · Filed May 30, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.81 · Expires 2033-05-25 | Direct | 86,762 |
Reported balance
After 2023-05-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-05-25 · Grant · Acquired 86,762 · Balance 86,762 F1: The option vests as to 100% of the shares on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the Issuer's next Annual Meeting of stockholders that occurs following the grant, subject to the Reporting Person continuing as a service provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 100% of the shares on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the Issuer's next Annual Meeting of stockholders that occurs following the grant, subject to the Reporting Person continuing as a service provider through each such date.
Esperion Therapeutics, Inc.
Report date May 27, 2021 · Filed May 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,449 |
Reported balance
After 2021-05-27 transaction · row 1
1 source rowRow 1 · 2021-05-27 · Grant · Acquired 12,376 · Balance 23,449 F1: The shares vest in full on the earlier of (i) May 27, 2022 and (ii) the Issuer's next annual meeting of stockholders following May 27, 2021. |
| Common StockSEC Table I · non-derivative | IndirectBy Alta Bioequities, L.P. | 24,565 |
Reported balance
Holding disclosure · report date 2021-05-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 24,565 F2: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest in full on the earlier of (i) May 27, 2022 and (ii) the Issuer's next annual meeting of stockholders following May 27, 2021.
F2: On February 28, 2018, Alta Partners VIII, L.P. ("APVIII") distributed 624,564 shares of Common Stock on a pro rata basis, for no additional consideration, to its partners, which distribution was exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9 and Rule 16a-13. Alta Bioequities, L.P. ("Alta Bioequities") received 24,565 of these shares. Alta Bioequities Management, LLC is the general partner of Alta Bioequities L.P. The Reporting Person is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares owned by Alta Bioequities, L.P.
Krystal Biotech, Inc.
Report date September 14, 2026 · Filed September 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $340.03 · Expires 2036-09-13 | Direct | 1,187 |
Reported balance
After 2026-09-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-14 · Grant · Acquired 1,187 · Balance 1,187 F1: The stock options vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant. |
| Restricted Stock AwardSEC Table II · derivative / convertible security | Direct | 471 |
Reported balance
After 2026-09-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-14 · Grant · Acquired 471 · Balance 471 F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock. F3: The RSUs vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant.
F2: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
F3: The RSUs vest in full on September 14, 2027, subject to continued service on the Company's Board of Directors through such date and to earlier vesting in certain circumstances described in the Company's Non-Employee Director Compensation Policy as in effect on the date of grant.
SUTRO BIOPHARMA, INC.
Report date June 17, 2019 · Filed June 19, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy Common Stock)SEC Table II · derivative / convertible security · Conversion / exercise price $11.12 · Expires 2029-06-16 | Direct | 11,610 |
Reported balance
After 2019-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-17 · Grant · Acquired 11,610 · Balance 11,610 F1: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date.
VIVEVE MEDICAL, INC.
Report date December 31, 2018 · Filed January 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,579 |
Reported balance
After 2018-12-31 transaction · row 1
1 source rowRow 1 · 2018-12-31 · Grant · Acquired 21,131 · Balance 60,579 F1: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 21,131 shares of common stock on December 31, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. |
| Common StockSEC Table I · non-derivative | IndirectSee | 1,381,955 |
Reported balance
Holding disclosure · report date 2018-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,381,955 F2: Directly beneficially owned by Alta Bioequities, L.P. F3: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 21,131 shares of common stock on December 31, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date.
F2: Directly beneficially owned by Alta Bioequities, L.P.
F3: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Tyra Biosciences, Inc.
Report date September 17, 2021 · Filed September 17, 2021
Jointly reported with Alta Partners NextGen Fund II Management, LLC, Alta Partners NextGen Fund II, L.P., Hudson Peter A
Section 16 reporting ended · disclosed 2021-09-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,080,296 |
Last balance in matching sequence
After 2021-09-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-09-17 · Conversion · Acquired 3,811,117 · Balance 3,924,046 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. Row 2 · 2021-09-17 · Purchase · Acquired 156,250 · Balance 4,080,296 F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-09-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-09-17 · Conversion · Disposed 1,212,122 · Balance 0 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2021-09-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-09-17 · Conversion · Disposed 255,160 · Balance 0 F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer.
F2: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports.
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 |
|---|---|---|---|---|---|---|
| September 17, 2021 Filed Sep 17, 2021 20:47 UTC | Tyra Biosciences, Inc. TYRA · Entity 4680 | ConversionCommon Stock | 3,811,117 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-036429 · doc4.xml · nonDerivative · entry 1 Alta Partners NextGen Fund II Management, LLC · CIK 0001881002 · 10% owner Alta Partners NextGen Fund II, L.P. · CIK 0001768658 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner JANNEY DANIEL · CIK 0001198325 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,924,046 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: On September 17, 2021, each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into Common Stock of the Issuer at a ratio of 1-for-2.5974 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date. As a result of the Issuer's initial public offering, the reporting persons are no longer 10% owners of the Issuer's common stock and are, therefore, no longer subject to Section 16 in connection with their transactions in the equity securities of the Issuer. F2 · ownership.nature: These securities are held directly by Alta Partners NextGen Fund II, L.P. (the "APNG II"). The shares directly held by APNG II are indirectly held by Alta Partners NextGen Fund II Management, LLC ("APNG II Management"), which is the general partner of APNG II. The individual managing directors of APNG II Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG II Management exercise shared voting and investment control with respect to the shares held by APNG II. APNG II Management, Mr. Hudson and Mr. Janney disclaim beneficial ownership of all shares held by APNG II, except to the extent of its or their respective pecuniary interests therein. Mr. More is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 15:36 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | GrantStock Option (Right to Buy) · Derivative | 6,800 | $0.00 Strike: $68.00 | $0.00 |
DisclosureSEC source: 0001711279-21-000020 · wf-form4_162524019238929.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,800 Underlying: Common Stock · 6,800 shares Expires 2031-06-30 F1 · derivative.exercise_date: The options were awarded on June 30, 2021 and vest in equal monthly tranches over a one-year period. Read SEC document |
| May 27, 2021 Filed May 28, 2021 20:16 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GrantCommon Stock | 12,376 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-011356 · wf-form4_162223298726180.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,449 F1 · shares: The shares vest in full on the earlier of (i) May 27, 2022 and (ii) the Issuer's next annual meeting of stockholders following May 27, 2021. Read SEC document |
| May 25, 2021 Filed Oct 14, 2021 16:28 UTC | Allakos Inc. ALLK · Entity 79644 | GrantStock Option (Right to buy) · Derivative | 7,700 | $0.00 Strike: $99.83 | $0.00 |
DisclosureSEC source: 0001209191-21-060467 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2031-05-25 F1 · derivative.exercise_date: The option vests as to 100% of the shares on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next Annual Meeting that occurs following the grant, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 18:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 2,500 | $116.09 | $290,225.00 |
DisclosureSEC source: 0001209191-21-023622 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 56,293 F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 18:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 14,808 | $115.01 | $1,703,068.08 |
DisclosureSEC source: 0001209191-21-023622 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 58,793 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.00 - $115.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 19:21 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 4,118 | $120.22 | $495,065.96 |
DisclosureSEC source: 0001209191-21-022932 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 73,601 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.01 - $120.53, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 19:21 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 9,030 | $119.46 | $1,078,723.80 |
DisclosureSEC source: 0001209191-21-022932 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 77,719 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.00 - $119.99, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 16:17 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 6,708 | $124.56 | $835,548.48 |
DisclosureSEC source: 0001209191-21-020774 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 86,749 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.50 - $124.645, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 16:17 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 4,071 | $124.18 | $505,536.78 |
DisclosureSEC source: 0001209191-21-020774 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 93,457 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.00 - $124.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F5 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 11, 2021 Filed Mar 11, 2021 19:35 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 6,006 | $124.62 | $748,467.72 |
DisclosureSEC source: 0001209191-21-019957 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 97,528 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.25 - $125.16, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. F6 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 19:35 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 100 | $125.00 | $12,500.00 |
DisclosureSEC source: 0001209191-21-019957 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities L.P. Disclosed balance after: 103,534 F5 · balance_after: Shares held prior to the reported transaction consisted of an aggregate of 103,634 shares received in pro rata distributions from APNG I and AP VIII subsequent to the Reporting Person's most recent Section 16 report, which distributions were not required to be reported pursuant to Section 16. F6 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Aug 8, 2020 00:10 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | GrantStock Option (Right to Buy) · Derivative | 6,800 | $0.00 Strike: $41.42 | $0.00 |
DisclosureSEC source: 0000899243-20-021806 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,800 Underlying: Common Stock · 6,800 shares Expires 2030-06-29 F1 · derivative.exercise_date: The options were awarded on June 30, 2020 and vest in equal monthly tranches over a one-year period. Read SEC document |
| May 28, 2020 Filed May 29, 2020 20:40 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GrantCommon Stock | 6,106 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-006718 · edgar.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,073 F1 · shares: The shares vest in full on the earlier of (i) May 28, 2021 and (ii) the Issuer's next annual meeting of stockholders following May 28, 2020. Read SEC document |
| May 26, 2020 Filed May 28, 2020 16:10 UTC | Allakos Inc. ALLK · Entity 79644 | GrantStock Option (Right to Buy) · Derivative | 7,700 | $0.00 Strike: $72.54 | $0.00 |
DisclosureSEC source: 0000899243-20-014411 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,700 Underlying: Common Stock · 7,700 shares Expires 2030-05-26 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one-year anniversary of the date of grant of the option or (ii) the date of the next annual meeting of stockholders that occurs following the grant of such option, in each case, provided that the Reporting Person continues to serve as a non-employee director through the applicable vesting date. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 6,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 7 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,837 F9 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein. F9 · ownership.direct: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 6 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities, L.P. Disclosed balance after: 11,539 F8 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F8 · ownership.nature: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 5 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hudson Capital LLC Disclosed balance after: 11,538 F7 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F7 · ownership.nature: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 4 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,538 F6 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein. F6 · ownership.direct: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 34,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 3 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By APNG I Management Disclosed balance after: 0 F5 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by APNG I Management, without consideration, to its members. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 34,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 2 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By APNG I Management Disclosed balance after: 34,615 F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 1,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 1 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,519,200 F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. F2 · ownership.nature: Consists of 2,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). F3 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their respective pecuniary interests therein. F4 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their respective pecuniary interests therein. Read SEC document |
| August 30, 2019 Filed Sep 3, 2019 21:23 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | SaleCommon Stock | 32,190 | $46.18 | $1,486,534.20 |
DisclosureSEC source: 0001209191-19-048011 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 366,362 F5 · price: This transaction was executed in multiple trades ranging from $46.03 to $46.60. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| August 29, 2019 Filed Sep 3, 2019 21:23 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | SaleCommon Stock | 700 | $47.50 | $33,250.00 |
DisclosureSEC source: 0001209191-19-048011 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 398,552 F4 · price: This transaction was executed in multiple trades ranging from $47.43 to $47.69. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| August 29, 2019 Filed Sep 3, 2019 21:23 UTC | Krystal Biotech, Inc. KRYS · Entity 3500 | SaleCommon Stock | 55,794 | $46.61 | $2,600,558.34 |
DisclosureSEC source: 0001209191-19-048011 · doc4.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 399,252 F1 · price: This transaction was executed in multiple trades ranging from $46.43 to $47.42. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. F2 · ownership.nature: Directly beneficially owned by Alta Bioequities, L.P. F3 · ownership.nature: Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. The reporting person is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 17:51 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy Common Stock) · Derivative | 11,610 | $0.00 Strike: $11.12 | $0.00 |
DisclosureSEC source: 0001209191-19-038100 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,610 Underlying: Common Stock · 11,610 shares Expires 2029-06-16 F1 · derivative.exercise_date: The option vests as to 1/12th of the total shares monthly, beginning on July 7, 2019, with 100% of the total shares vested and exercisable on June 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| June 06, 2019 Filed Jun 11, 2019 16:26 UTC | Allakos Inc. ALLK · Entity 79644 | GrantStock Option (Right to Buy) · Derivative | 16,000 | $0.00 Strike: $40.00 | $0.00 |
DisclosureSEC source: 0000899243-19-016377 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2029-06-06 F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one-year anniversary of the date of grant of the annual option or (ii) the date of the next annual meeting of stockholders that occurs following the grant of such annual option, in each case, provided that the Reporting Person continues to serve as a non-employee director through the applicable vesting date. Read SEC document |
| May 29, 2019 Filed May 31, 2019 20:51 UTC | Esperion Therapeutics, Inc. ESPR · Entity 30796 | GrantCommon Stock | 4,967 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-006917 · edgar.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,967 F3 · shares: The shares vest in full on the earlier of (i) May 29, 2020 and (ii) the Issuer's next annual meeting of stockholders following May 29, 2019. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 15:48 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 21,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-000069 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,579 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 21,131 shares of common stock on December 31, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| October 23, 2018 Filed Oct 25, 2018 12:48 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 17,500 | $0.00 Strike: $3.47 | $0.00 |
DisclosureSEC source: 0001437749-18-018775 · rdgdoc.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-10-22 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received 17,500 non-qualified stock options on October 23, 2018 (the "Grant Date"). The non-qualified stock options shall vest in full on May 22, 2019 Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries E Preferred Stock · Derivative | 18,698,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 8 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 514,211 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries D Preferred Stock · Derivative | 9,449,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 7 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 382,698 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 12,387,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 6 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 458,331 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 10,201,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 5 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 589,661 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 B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 514,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 4 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,944,901 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 382,698 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 3 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,430,690 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 458,331 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 2 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 589,661 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 1 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 589,661 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 B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries E Preferred Stock · Derivative | 18,698,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · derivative · entry 8 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 514,211 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries D Preferred Stock · Derivative | 9,449,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · derivative · entry 7 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 382,698 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 12,387,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · derivative · entry 6 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 458,331 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 10,201,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · derivative · entry 5 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 589,661 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 B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 514,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · nonDerivative · entry 4 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 1,944,901 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 382,698 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · nonDerivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 1,430,690 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 458,331 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · nonDerivative · entry 2 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 1,047,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:18 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 589,661 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052839 · doc4.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Partners VIII, L.P. Disclosed balance after: 589,661 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 B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by Alta Partners VIII, L.P. ("Alta Partners). Alta Partners Management VIII, LLC ("Alta Management") is the general partner of Alta Partners. The reporting person, a member of the issuer's board of directors, is a managing director of Alta Management, and may be deemed to share voting and investment power over the securities held by Alta Partners. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 01, 2018 Filed Oct 4, 2018 13:17 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 8,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017961 · rdgdoc.xml · nonDerivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,448 F1 · shares: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 8,947 shares of common stock on October 1, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| September 26, 2018 Filed Sep 27, 2018 17:56 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy Common Stock) · Derivative | 26,033 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052483 · doc4.xml · derivative · entry 1 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,033 Underlying: Common Stock · 26,033 shares Expires 2028-09-25 F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:03 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries B Preferred Stock · Derivative | 1,239,007 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043629 · doc4.xml · derivative · entry 4 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,239,007 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: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F8 · ownership.nature: APNG I owns 504,547 shares of Series B Preferred Stock. Alta VIII owns 734,460 shares of Series B Preferred Stock. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:03 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries A Preferred Stock · Derivative | 10,030,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043629 · doc4.xml · derivative · entry 3 JANNEY DANIEL · CIK 0001198325 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 10,030,193 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F7 · ownership.nature: APNG I owns 2,941,718 shares of Series A Preferred Stock. Alta VIII owns 7,088,475 shares of Series A Preferred Stock. 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.