organization · Reporting owner

Daewoong Co., Ltd

Disclosed activity across 1 company

Tapewire entity: 68484
SEC CIK: 0001985493

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AEON Biopharma, Inc.AEON · Entity 7859	10% owner	January 21, 2026	January 30, 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.

AEON Biopharma, Inc.

Report date January 21, 2026 · Filed January 30, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	Direct	58,023	Reported balance Holding disclosure · report date 2026-01-21 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 58,023
Common Stock, $0.0001 par value per shareSEC Table I · non-derivative	IndirectIndirect Beneficial Ownership in the 11,951,714 owned by Daewoong Pharmaceutical Co., Ltd	11,951,714	Reported balance Holding disclosure · report date 2026-01-21 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 11,951,714 F1: Daewoong Co., Ltd. ("DWC"), a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd. ("DWP"), a company organized under the laws of the Republic of Korea; DWC has voting and dispositive power over the securities held by DWP and, therefore, may be deemed to beneficially own such securities indirectly. F2: As previously disclosed on January 21, 2026, upon completion by AEON Biopharma Inc. (the "Company") of a bona-fide third-party financing for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), the convertible notes shall automatically convert into a number of shares of Common Stock or Pre-Funded Warrants equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the convertible notes and all accrued and unpaid interest to be converted divided by (b) the per share price of the common stock sold in the Qualified Financing, and warrants to purchase up to 8,000,000 shares of Common Stock at an exercise price of $1.09392 per share (the "Common Stock Warrant"), resulting in DWP beneficially owning more than 10% of the Issuer's outstanding Common Stock. F3: (continued from footnote [2]). As a result, DWC beneficially owns an aggregate of (i) 12,009,737 shares of Common Stock (including shares previously held). In addition, DWP received (ii) the New Convertible Note in the principal amount of $1,500,000, (iii) the Pre-Funded Warrants to purchase up to 11,236,631 shares of Common Stock, and (iv) the Common Stock Warrant to purchase up to 8,000,000 shares of Common Stock. DWC may be deemed to beneficially own indirectly the securities described in clauses (ii) through (iv) held by DWP.
Senior Secured Convertible NoteSEC Table II · derivative / convertible security · Expires 2030-04-12	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2026-01-21 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F2: As previously disclosed on January 21, 2026, upon completion by AEON Biopharma Inc. (the "Company") of a bona-fide third-party financing for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), the convertible notes shall automatically convert into a number of shares of Common Stock or Pre-Funded Warrants equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the convertible notes and all accrued and unpaid interest to be converted divided by (b) the per share price of the common stock sold in the Qualified Financing, and warrants to purchase up to 8,000,000 shares of Common Stock at an exercise price of $1.09392 per share (the "Common Stock Warrant"), resulting in DWP beneficially owning more than 10% of the Issuer's outstanding Common Stock. F3: (continued from footnote [2]). As a result, DWC beneficially owns an aggregate of (i) 12,009,737 shares of Common Stock (including shares previously held). In addition, DWP received (ii) the New Convertible Note in the principal amount of $1,500,000, (iii) the Pre-Funded Warrants to purchase up to 11,236,631 shares of Common Stock, and (iv) the Common Stock Warrant to purchase up to 8,000,000 shares of Common Stock. DWC may be deemed to beneficially own indirectly the securities described in clauses (ii) through (iv) held by DWP. F1: Daewoong Co., Ltd. ("DWC"), a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd. ("DWP"), a company organized under the laws of the Republic of Korea; DWC has voting and dispositive power over the securities held by DWP and, therefore, may be deemed to beneficially own such securities indirectly.
Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2026-01-21 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F2: As previously disclosed on January 21, 2026, upon completion by AEON Biopharma Inc. (the "Company") of a bona-fide third-party financing for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), the convertible notes shall automatically convert into a number of shares of Common Stock or Pre-Funded Warrants equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the convertible notes and all accrued and unpaid interest to be converted divided by (b) the per share price of the common stock sold in the Qualified Financing, and warrants to purchase up to 8,000,000 shares of Common Stock at an exercise price of $1.09392 per share (the "Common Stock Warrant"), resulting in DWP beneficially owning more than 10% of the Issuer's outstanding Common Stock. F3: (continued from footnote [2]). As a result, DWC beneficially owns an aggregate of (i) 12,009,737 shares of Common Stock (including shares previously held). In addition, DWP received (ii) the New Convertible Note in the principal amount of $1,500,000, (iii) the Pre-Funded Warrants to purchase up to 11,236,631 shares of Common Stock, and (iv) the Common Stock Warrant to purchase up to 8,000,000 shares of Common Stock. DWC may be deemed to beneficially own indirectly the securities described in clauses (ii) through (iv) held by DWP. F4: The Pre-Funded Warrant is exercisable on or after the Original Issue Date and does not expire until exercised in full. F1: Daewoong Co., Ltd. ("DWC"), a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd. ("DWP"), a company organized under the laws of the Republic of Korea; DWC has voting and dispositive power over the securities held by DWP and, therefore, may be deemed to beneficially own such securities indirectly.
Common Stock WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $1.09	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2026-01-21 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F2: As previously disclosed on January 21, 2026, upon completion by AEON Biopharma Inc. (the "Company") of a bona-fide third-party financing for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), the convertible notes shall automatically convert into a number of shares of Common Stock or Pre-Funded Warrants equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the convertible notes and all accrued and unpaid interest to be converted divided by (b) the per share price of the common stock sold in the Qualified Financing, and warrants to purchase up to 8,000,000 shares of Common Stock at an exercise price of $1.09392 per share (the "Common Stock Warrant"), resulting in DWP beneficially owning more than 10% of the Issuer's outstanding Common Stock. F3: (continued from footnote [2]). As a result, DWC beneficially owns an aggregate of (i) 12,009,737 shares of Common Stock (including shares previously held). In addition, DWP received (ii) the New Convertible Note in the principal amount of $1,500,000, (iii) the Pre-Funded Warrants to purchase up to 11,236,631 shares of Common Stock, and (iv) the Common Stock Warrant to purchase up to 8,000,000 shares of Common Stock. DWC may be deemed to beneficially own indirectly the securities described in clauses (ii) through (iv) held by DWP. F5: The Common Stock Warrant is exercisable on or after the Initial Exercise Date and expires at 5:00 p.m. (New York City time) on the Termination Date, as defined in the form of warrant filed as Exhibit 4.2 to the Company's Form 8-K filed with the SEC on November 12, 2025. F1: Daewoong Co., Ltd. ("DWC"), a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd. ("DWP"), a company organized under the laws of the Republic of Korea; DWC has voting and dispositive power over the securities held by DWP and, therefore, may be deemed to beneficially own such securities indirectly.

Filing footnotes · ownership attribution and instrument terms

F1: Daewoong Co., Ltd. ("DWC"), a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd. ("DWP"), a company organized under the laws of the Republic of Korea; DWC has voting and dispositive power over the securities held by DWP and, therefore, may be deemed to beneficially own such securities indirectly.

F2: As previously disclosed on January 21, 2026, upon completion by AEON Biopharma Inc. (the "Company") of a bona-fide third-party financing for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), the convertible notes shall automatically convert into a number of shares of Common Stock or Pre-Funded Warrants equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the convertible notes and all accrued and unpaid interest to be converted divided by (b) the per share price of the common stock sold in the Qualified Financing, and warrants to purchase up to 8,000,000 shares of Common Stock at an exercise price of $1.09392 per share (the "Common Stock Warrant"), resulting in DWP beneficially owning more than 10% of the Issuer's outstanding Common Stock.

F3: (continued from footnote [2]). As a result, DWC beneficially owns an aggregate of (i) 12,009,737 shares of Common Stock (including shares previously held). In addition, DWP received (ii) the New Convertible Note in the principal amount of $1,500,000, (iii) the Pre-Funded Warrants to purchase up to 11,236,631 shares of Common Stock, and (iv) the Common Stock Warrant to purchase up to 8,000,000 shares of Common Stock. DWC may be deemed to beneficially own indirectly the securities described in clauses (ii) through (iv) held by DWP.

F4: The Pre-Funded Warrant is exercisable on or after the Original Issue Date and does not expire until exercised in full.

F5: The Common Stock Warrant is exercisable on or after the Initial Exercise Date and expires at 5:00 p.m. (New York City time) on the Termination Date, as defined in the form of warrant filed as Exhibit 4.2 to the Company's Form 8-K filed with the SEC on November 12, 2025.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
April 12, 2024 Filed Apr 17, 2024 01:09 UTC Amendment	AEON Biopharma, Inc. AEON · Entity 7859	OtherSenior Secured Convertible Note · Derivative	Not disclosed	Not disclosed	$10,000,000.00	Disclosure SEC source: 0001213900-24-033564 · ownership.xml · derivative · entry 1 Daewoong Co., Ltd · CIK 0001985493 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-04-12 F1 · derivative.exercise_price: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 12, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · derivative.exercise_price: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · kind: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 12, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · kind: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · kind: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F4 · kind: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. F1 · price: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 12, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · price: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · derivative.exercise_date: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 12, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · derivative.exercise_date: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_date: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · underlyingValue: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 12, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · underlyingValue: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · underlyingValue: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F4 · ownership.nature: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. Read SEC document
April 11, 2024 Filed Apr 12, 2024 11:00 UTC	AEON Biopharma, Inc. AEON · Entity 7859	OtherSenior Secured Convertible Note · Derivative	Not disclosed	Not disclosed	$10,000,000.00	Disclosure SEC source: 0001213900-24-032312 · ownership.xml · derivative · entry 1 Daewoong Co., Ltd · CIK 0001985493 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-04-11 F1 · derivative.exercise_price: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 11, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · derivative.exercise_price: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · kind: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 11, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · kind: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · kind: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F4 · kind: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. F1 · price: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 11, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · price: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · derivative.exercise_date: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 11, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · derivative.exercise_date: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_date: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F1 · underlyingValue: Pursuant to a subscription agreement entered on March 24, 2024 into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), and pursuant to the Company's compliance with certain conditions set forth in the subscription agreement, DWP acquired a senior secured convertible note (the "Subsequent Convertible Note" or "$10.0 million Note") in the principal amount of $10.0 million on April 11, 2024, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $10.0 million Note. F2 · underlyingValue: (continued from footnote [1]). The $10.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $10.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · underlyingValue: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $10.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $10.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Subsequent Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $10.0 million Note is indeterminate. F4 · ownership.nature: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. Read SEC document
March 24, 2024 Filed Mar 26, 2024 10:39 UTC	AEON Biopharma, Inc. AEON · Entity 7859	OtherSenior Secured Convertible Note · Derivative	Not disclosed	Not disclosed	$5,000,000.00	Disclosure SEC source: 0001213900-24-025744 · ownership.xml · derivative · entry 1 Daewoong Co., Ltd · CIK 0001985493 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 5,000,000 shares Expires 2027-03-24 F1 · derivative.exercise_price: Pursuant to a subscription agreement entered into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), on March 24, 2024, DWP acquired a senior secured convertible note (the "Convertible Note" or "$5.0 million Note") in the principal amount of $5.0 million, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $5.0 million Note. The $5.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. F2 · derivative.exercise_price: (continued from footnote [1]). If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $5.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $5.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $5.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $5.0 million Note is indeterminate. F1 · kind: Pursuant to a subscription agreement entered into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), on March 24, 2024, DWP acquired a senior secured convertible note (the "Convertible Note" or "$5.0 million Note") in the principal amount of $5.0 million, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $5.0 million Note. The $5.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. F2 · kind: (continued from footnote [1]). If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $5.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · kind: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $5.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $5.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $5.0 million Note is indeterminate. F4 · kind: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. F1 · price: Pursuant to a subscription agreement entered into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), on March 24, 2024, DWP acquired a senior secured convertible note (the "Convertible Note" or "$5.0 million Note") in the principal amount of $5.0 million, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $5.0 million Note. The $5.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. F2 · price: (continued from footnote [1]). If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $5.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · price: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $5.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $5.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $5.0 million Note is indeterminate. F1 · derivative.exercise_date: Pursuant to a subscription agreement entered into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), on March 24, 2024, DWP acquired a senior secured convertible note (the "Convertible Note" or "$5.0 million Note") in the principal amount of $5.0 million, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $5.0 million Note. The $5.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. F2 · derivative.exercise_date: (continued from footnote [1]). If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $5.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.exercise_date: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $5.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $5.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $5.0 million Note is indeterminate. F1 · derivative.underlying_shares: Pursuant to a subscription agreement entered into by and between Daewoong Pharmaceutical Co., Ltd. ("DWP"), AEON Biopharma, Inc. ("AEON" or the "Company") and AEON Biopharma Sub, Inc., a subsidiary of the Company ("AEON Sub"), on March 24, 2024, DWP acquired a senior secured convertible note (the "Convertible Note" or "$5.0 million Note") in the principal amount of $5.0 million, which is convertible into shares of the Company's Class A common stock, par value $0.0001 ("Common Stock"), subject to certain conditions and limitations set forth in the $5.0 million Note. The $5.0 million Note contains customary events of default, accrues interest at an annual rate of 15.79% and has a maturity date that is three years from the funding date (the "Maturity Date"), unless earlier repurchased, converted or redeemed in accordance with its terms prior to such date. F2 · derivative.underlying_shares: (continued from footnote [1]). If, prior to the Maturity Date, the Company consummates a bona-fide third-party financing in the form of Common Stock or any securities convertible into, or exchangeable or exercisable for, Common Stock (subject to certain exceptions as described the $5.0 million Note), in one or more transactions or a series of related and substantially similar and simultaneous transactions at the same purchase price from third parties unaffiliated with DWP and its affiliates, for aggregate gross cash proceeds to the Company of at least $30.0 million (a "Qualified Financing"), F3 · derivative.underlying_shares: (continued from footnote [2]). then, upon written notice thereof to DWP by the Company, on the closing date of such Qualified Financing, the $5.0 million Note will automatically convert in whole (the "Automatic Conversion") (subject to any limitations under the rules and regulations of NYSE American), without any further action by DWP, into a number of shares equal to: (i) one and three tenths (1.3) multiplied by (ii) the quotient of (a) the principal amount of the $5.0 million Note and all accrued and unpaid interest to be converted divided by (b) the per share price of the Common Stock sold in the Qualified Financing, provided that such per share price of Common Stock is at least $1.00 per share. Due to the terms and conditions for issuance of the Convertible Note, the number and the price of Common Shares which would be received by the Reporting Person upon conversion of the $5.0 million Note is indeterminate. F4 · ownership.nature: Daewoong Co., Ltd., a company organized under the laws of the Republic of Korea, owns 52% of the outstanding shares of Daewoong Pharmaceutical Co., Ltd., a company organized under the laws of the Republic of Korea; Daewoong Co., Ltd. has voting power and dispositive power over Daewoong Pharmaceutical Co., Ltd. and therefore may be deemed to indirectly own such shares. 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.