Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Iterum Therapeutics plcITRM · Entity 72802 | Director | January 13, 2025 | January 23, 2025 |
| Neuronetics, Inc.STIM · Entity 6248 | Director · 10% owner | April 01, 2019 | April 03, 2019 |
| Rallybio CorpRLYB · Entity 6838 | Director | February 18, 2026 | February 20, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Iterum Therapeutics plc
Report date January 13, 2025 · Filed January 23, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 6.500% Exchangeable Senior Subordinated Note due 2025SEC Table II · derivative / convertible security · Expires 2025-01-13 | IndirectBy New Leaf Ventures III, L.P. | Not disclosed |
Reported balance
After 2025-01-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-01-13 · Other · Disposed Not disclosed · Balance Not disclosed F1: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes. F2: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F3: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes. F4: Represents the amount of Ordinary Shares that were underlying the relevant Exchangeable Note based on the current exchange rate of 546.4481 Ordinary Shares per $1,000 of principal and interest on such Exchangeable Note. F5: The Exchangeable Note is held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. |
| 6.500% Exchangeable Senior Subordinated Note due 2025SEC Table II · derivative / convertible security · Expires 2025-01-13 | IndirectBy New Leaf Biopharma Opportunities II, L.P. | Not disclosed |
Reported balance
After 2025-01-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-01-13 · Other · Disposed Not disclosed · Balance Not disclosed F1: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes. F2: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms. F3: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes. F4: Represents the amount of Ordinary Shares that were underlying the relevant Exchangeable Note based on the current exchange rate of 546.4481 Ordinary Shares per $1,000 of principal and interest on such Exchangeable Note. F6: The Exchangeable Note is held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NBPO-IIM and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.
F2: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.
F3: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.
F4: Represents the amount of Ordinary Shares that were underlying the relevant Exchangeable Note based on the current exchange rate of 546.4481 Ordinary Shares per $1,000 of principal and interest on such Exchangeable Note.
F5: The Exchangeable Note is held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any.
F6: The Exchangeable Note is held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NBPO-IIM and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of his pecuniary interest therein, if any.
Neuronetics, Inc.
Report date April 01, 2019 · Filed April 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 847 |
Reported balance
After 2019-04-01 transaction · row 1
1 source rowRow 1 · 2019-04-01 · Grant · Acquired 847 · Balance 847 F1: Pursuant to the Issuer's non-employee directors compensation plan the Reporting Person elected to receive shares of the Issuer's Common Stock in lieu of a cash retainer. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,543,115 |
Reported balance
Holding disclosure · report date 2019-04-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,543,115 F2: The reportable securities are directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Each of NLV Associates II and NLV Management II may be deemed to have sole voting and investment power with respect to these securities. Each of NLV Associates II and NLV Management II disclaims beneficial ownership of these securities and this report shall not be deemed an admission that either is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3: The Reporting Person, a member of the Issuer's board of directors and Vijay Lathi are the managers of NLV Management II (collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. Each of the Reporting Person and the other Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Issuer's non-employee directors compensation plan the Reporting Person elected to receive shares of the Issuer's Common Stock in lieu of a cash retainer.
F2: The reportable securities are directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Each of NLV Associates II and NLV Management II may be deemed to have sole voting and investment power with respect to these securities. Each of NLV Associates II and NLV Management II disclaims beneficial ownership of these securities and this report shall not be deemed an admission that either is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F3: The Reporting Person, a member of the Issuer's board of directors and Vijay Lathi are the managers of NLV Management II (collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. Each of the Reporting Person and the other Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
Rallybio Corp
Report date February 18, 2026 · Filed February 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.45 · Expires 2036-02-18 | Direct | 14,305 |
Reported balance
After 2026-02-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-02-18 · Grant · Acquired 14,305 · Balance 14,305 F2: This option was issued to the reporting person pursuant to the Company's 2021 Equity Incentive Plan in lieu of retainer fees of $51,500. F1: The option vests as to the underlying shares of Common Stock in 11 equal installments, each on the last day of each remaining month of calendar year 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as to the underlying shares of Common Stock in 11 equal installments, each on the last day of each remaining month of calendar year 2026.
F2: This option was issued to the reporting person pursuant to the Company's 2021 Equity Incentive Plan in lieu of retainer fees of $51,500.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Harpoon Therapeutics, Inc.
Report date March 08, 2024 · Filed March 11, 2024
Section 16 reporting ended · disclosed 2024-03-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2024-03-11 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-03-08 · Grant · Acquired 424 · Balance 13,224 F1: Represents shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") issuable upon the settlement of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of prorated retainer fees totaling $9,753.00 for the first quarter of 2024. Row 2 · 2024-03-11 · Disposition to issuer · Disposed 13,224 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F3: Includes 13,224 RSUs which are subject to rounding as a result of the 1:10 reverse stock split effective September 1, 2023. F4: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding RSU was cancelled and automatically converted into the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (i) the Common Stock Merger Consideration (as defined below) payable with respect to such RSU multiplied by (ii) the total number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, with the number of shares of Company Common Stock subject to any such Company RSU that vests based on the achievement of performance goals determined in accordance with the applicable award agreement. F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2024-03-11 · Disposition to issuer · Disposed 1,463,386 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F6: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F7: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2024-03-11 · Disposition to issuer · Disposed 395,783 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration"). F8: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F9: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| 8.000% Series A Redeemable Preferred StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2024-03-11 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F10: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive 3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes. F6: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F7: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.79 · Expires 2031-03-23 | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-03-11 · Disposition to issuer · Disposed 299,430 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F11: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F6: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F7: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.83 · Expires 2026-10-25 | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-03-11 · Disposition to issuer · Disposed 686,000 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F11: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F6: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F7: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.83 · Expires 2026-10-25 | IndirectSee Footnote | 0 |
Reported balance
After 2024-03-11 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-03-11 · Disposition to issuer · Disposed 85,750 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F11: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time. F8: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F9: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.15 | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2024-03-11 · Disposition to issuer · Disposed 2,033 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F12: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, F13: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.10 | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2024-03-11 · Disposition to issuer · Disposed 1,016 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F12: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, F13: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.10 | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2024-03-11 · Disposition to issuer · Disposed 3,214 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F12: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, F13: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.66 | Direct | 0 |
Reported balance
After 2024-03-11 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2024-03-11 · Disposition to issuer · Disposed 2,300 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). F12: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, F13: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") issuable upon the settlement of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of prorated retainer fees totaling $9,753.00 for the first quarter of 2024.
F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").
F3: Includes 13,224 RSUs which are subject to rounding as a result of the 1:10 reverse stock split effective September 1, 2023.
F4: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding RSU was cancelled and automatically converted into the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (i) the Common Stock Merger Consideration (as defined below) payable with respect to such RSU multiplied by (ii) the total number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, with the number of shares of Company Common Stock subject to any such Company RSU that vests based on the achievement of performance goals determined in accordance with the applicable award agreement.
F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").
F6: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F7: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F8: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F9: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F10: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive 3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes.
F11: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time.
F12: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,
F13: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.
iRhythm Holdings, Inc.
Report date October 25, 2016 · Filed October 25, 2016
Jointly reported with New Leaf Ventures II, L.P., Delagardelle Jeani, Ratcliffe Liam, New Leaf Venture Associates II, L.P., New Leaf Venture Management II, L.L.C., Chambon Philippe O.
Section 16 reporting ended · disclosed 2016-10-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,741,589 |
Last balance in matching sequence
After 2016-10-25 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-10-25 · Conversion · Acquired 1,716,589 · Balance 1,716,589 F1: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F2: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Row 2 · 2016-10-25 · Purchase · Acquired 25,000 · Balance 1,741,589 F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-10-25 · Conversion · Disposed 610,136 · Balance 0 F1: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2016-10-25 · Conversion · Disposed 190,154 · Balance 0 F2: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-10-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-10-25 · Conversion · Disposed 155,548 · Balance 0 F3: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. |
| Series D Preferred Stock Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2019-11-01 | Direct | 0 |
Reported balance
After 2016-10-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-10-25 · Conversion · Disposed 72,389 · Balance 0 F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.
F2: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
F3: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
F4: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.
F5: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.
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 |
|---|---|---|---|---|---|---|
| July 02, 2018 Filed Jul 5, 2018 16:36 UTC | Neuronetics, Inc. STIM · Entity 6248 | ConversionCommon Stock | 421,681 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-041653 · doc4.xml · nonDerivative · entry 3 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,476,421 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into shares of Common Stock, on a one-for-one basis, had no expiration date and converted automatically into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. F2 · ownership.nature: The reportable securities are directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Each of NLV Associates II and NLV Management II may be deemed to have sole voting and investment power with respect to these securities. Each of NLV Associates II and NLV Management II disclaims beneficial ownership of these securities and this report shall not be deemed an admission that either is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: The Reporting Person, a member of the Issuer's board of directors, Vijay Lathi and Liam Ratcliffe are the managers of NLV Management II (collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. Each of the Reporting Person and the other Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 02, 2018 Filed Jul 5, 2018 16:36 UTC | Neuronetics, Inc. STIM · Entity 6248 | ConversionCommon Stock | 206,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-041653 · doc4.xml · nonDerivative · entry 2 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,054,740 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into shares of Common Stock, on a one-for-one basis, had no expiration date and converted automatically into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. F2 · ownership.nature: The reportable securities are directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Each of NLV Associates II and NLV Management II may be deemed to have sole voting and investment power with respect to these securities. Each of NLV Associates II and NLV Management II disclaims beneficial ownership of these securities and this report shall not be deemed an admission that either is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: The Reporting Person, a member of the Issuer's board of directors, Vijay Lathi and Liam Ratcliffe are the managers of NLV Management II (collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. Each of the Reporting Person and the other Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 02, 2018 Filed Jul 5, 2018 16:36 UTC | Neuronetics, Inc. STIM · Entity 6248 | ConversionCommon Stock | 848,360 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-041653 · doc4.xml · nonDerivative · entry 1 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 848,360 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock, Series F Convertible Preferred Stock and Series G Convertible Preferred Stock was convertible at any time, at the option of the holder, into shares of Common Stock, on a one-for-one basis, had no expiration date and converted automatically into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. F2 · ownership.nature: The reportable securities are directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Each of NLV Associates II and NLV Management II may be deemed to have sole voting and investment power with respect to these securities. Each of NLV Associates II and NLV Management II disclaims beneficial ownership of these securities and this report shall not be deemed an admission that either is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: The Reporting Person, a member of the Issuer's board of directors, Vijay Lathi and Liam Ratcliffe are the managers of NLV Management II (collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. Each of the Reporting Person and the other Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is a beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionSeries B-2 Preferred Shares · Derivative | 148,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · derivative · entry 8 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 148,603 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F4 · derivative.exercise_date: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F6 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionSeries B-1 Preferred Shares · Derivative | 178,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · derivative · entry 7 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 178,230 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: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F3 · derivative.exercise_date: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F6 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionSeries A Preferred Shares · Derivative | 466,793 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · derivative · entry 6 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 466,793 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 Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F6 · derivative.expiration_date: Not applicable. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | PurchaseOrdinary Shares | 384,615 | $13.00 | $4,999,995.00 |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · nonDerivative · entry 5 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P. Disclosed balance after: 384,615 F5 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NBPO-IIM and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | PurchaseOrdinary Shares | 278,062 | $13.00 | $3,614,806.00 |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · nonDerivative · entry 4 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 1,071,688 F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionOrdinary Shares | 148,603 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · nonDerivative · entry 3 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 793,626 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionOrdinary Shares | 178,230 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · nonDerivative · entry 2 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 645,023 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: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 30, 2018 Filed May 31, 2018 16:52 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | ConversionOrdinary Shares | 466,793 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-034403 · doc4.xml · nonDerivative · entry 1 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By New Leaf Ventures III, L.P. Disclosed balance after: 466,793 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration. F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 24, 2018 Filed May 29, 2018 17:11 UTC | Iterum Therapeutics plc ITRM · Entity 72802 | GrantStock Option (Right to Buy) · Derivative | 11,241 | $0.00 Strike: $13.00 | $0.00 |
DisclosureSEC source: 0001209191-18-033894 · doc4.xml · derivative · entry 1 HUNT RONALD · CIK 0001247851 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,241 Underlying: Ordinary Shares · 11,241 shares Expires 2028-05-23 F1 · derivative.exercise_date: Subject to the Reporting Person providing continuous service, the shares subject to this option shall vest on May 24, 2019. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionSeries D Preferred Stock Warrant (Right to Buy) · Derivative | 72,389 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 6 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 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 · 72,389 shares Expires 2019-11-01 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.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionSeries E Convertible Preferred Stock · Derivative | 155,548 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 5 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 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 · 155,548 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: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionSeries D Convertible Preferred Stock · Derivative | 190,154 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 4 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 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 · 190,154 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 D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F2 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F2 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionSeries C Convertible Preferred Stock · Derivative | 610,136 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 3 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 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 · 1,370,887 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 C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F1 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F1 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | PurchaseCommon Stock | 25,000 | $17.00 | $425,000.00 |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · nonDerivative · entry 2 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,741,589 F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:22 UTC | iRhythm Holdings, Inc. IRTC · Entity 1499 | ConversionCommon Stock | 1,716,589 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-16-032257 · doc4.xml · nonDerivative · entry 1 New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner Delagardelle Jeani · CIK 0001441563 · 10% owner HUNT RONALD · CIK 0001247851 · 10% owner Ratcliffe Liam · CIK 0001547100 · 10% owner New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner Chambon Philippe O. · CIK 0001192212 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,716,589 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F2 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest. 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.