person · Reporting owner
HALVORSEN OLE ANDREAS
Disclosed activity across 21 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adaptive Biotechnologies CorpADPT · Entity 1126 | 10% owner | December 14, 2020 | December 17, 2020 |
| PROCEPT BioRobotics CorpPRCT · Entity 4831 | 10% owner | March 18, 2022 | March 23, 2022 |
| Rallybio CorpRLYB · Entity 6838 | 10% owner | November 15, 2022 | November 17, 2022 |
| STANDARD BIOTOOLS INC.LAB · Entity 6116 | 10% owner | March 18, 2024 | March 20, 2024 |
| TIC Solutions, Inc.TIC · Entity 4496 | 10% owner | February 14, 2025 | February 14, 2025 |
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.
Adaptive Biotechnologies Corp
Report date December 14, 2020 · Filed December 17, 2020
Jointly reported with VIKING GLOBAL INVESTORS LP, VIKING GLOBAL PERFORMANCE LLC, Viking Global Equities II LP, Viking Global Equities Master Ltd., Viking Long Fund GP LLC, Viking Long Fund Master Ltd., Ott David C., Shabet Rose Sharon
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee explanation of responses | 29,993,708 |
Reported balance
After 2020-12-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-14 · Sale · Disposed 1,000,000 · Balance 29,993,708 F1: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares. F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP") and Viking Long Fund GP LLC ("VLFGP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II") and Viking Global Equities Master Ltd. ("VGEM") and Viking Long Fund Master Ltd. ("VLFM" and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3: VGP is the general partner of VGE II. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F6: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares.
F2: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP") and Viking Long Fund GP LLC ("VLFGP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II") and Viking Global Equities Master Ltd. ("VGEM") and Viking Long Fund Master Ltd. ("VLFM" and together with VLFM, VGEM and VGE II, the "Viking Funds").
F3: VGP is the general partner of VGE II. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
F4: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds.
F5: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.
F6: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM.
F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
PROCEPT BioRobotics Corp
Report date March 18, 2022 · Filed March 23, 2022
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, DRAGSA 88 LLC, Shabet Rose Sharon, Viking Global Opportunities Parent GP LLC, Ott David C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 3,360,687 |
Reported balance
After 2022-03-18 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-18 · Sale · Disposed 1,147,205 · Balance 3,360,687 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 298,205 |
Reported balance
After 2022-03-18 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-03-18 · Sale · Disposed 101,795 · Balance 298,205 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 88. VGI provides managerial services to DRAGSA 88. Because of the relationship between VGI and DRAGSA 88, VGI may be deemed to beneficially own the shares held directly by DRAGSA 88. F6: The membership interests of DRAGSA 88 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP and DRAGSA 88, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 88. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form.
F2: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund.
F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund.
F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F5: These shares are held directly by DRAGSA 88. VGI provides managerial services to DRAGSA 88. Because of the relationship between VGI and DRAGSA 88, VGI may be deemed to beneficially own the shares held directly by DRAGSA 88.
F6: The membership interests of DRAGSA 88 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP and DRAGSA 88, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 88.
Rallybio Corp
Report date November 15, 2022 · Filed November 17, 2022
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Explanation of Responses | 3,333,388 |
Reported balance
After 2022-11-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-11-15 · Purchase · Acquired 3,333,388 · Balance 3,333,388 F1: On November 15, 2022, Opportunities Fund acquired 3,333,388 pre-funded warrants, each with an exercise price of $0.0001, ("Pre-Funded Warrants") for an aggregate purchase price of $20 million. Each Pre-Funded Warrant represents the right to purchase one share of the Issuer's common stock ("Common Stock"), subject to the Blocker (defined in footnote 2), and can be exercised on a cash or cashless basis. The Pre-Funded Warrants will not expire. F2: The Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to such exercise, the aggregated number of shares of Common Stock beneficially owned by the holder (together with its affiliates, any "group" or any other persons whose beneficial ownership could be aggregated with the holders) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election only upon 61 days' advance notice to the Issuer, provided that such percentage may in no event exceed 19.99% (the "Blocker"). As of the date of this Form 4, the Reporting Persons (as defined in footnote 3) cannot exercise their Pre-Funded Warrants due to the Blocker. F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). VGI provides managerial services to various investment funds, including Opportunities Fund. Each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4: These Pre-Funded Warrants are held directly by Opportunities Fund. Because of the relationship between VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott, Ms. Shabet and Opportunities Fund, each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by Opportunities Fund. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 15, 2022, Opportunities Fund acquired 3,333,388 pre-funded warrants, each with an exercise price of $0.0001, ("Pre-Funded Warrants") for an aggregate purchase price of $20 million. Each Pre-Funded Warrant represents the right to purchase one share of the Issuer's common stock ("Common Stock"), subject to the Blocker (defined in footnote 2), and can be exercised on a cash or cashless basis. The Pre-Funded Warrants will not expire.
F2: The Pre-Funded Warrants cannot be exercised to the extent that, upon giving effect to such exercise, the aggregated number of shares of Common Stock beneficially owned by the holder (together with its affiliates, any "group" or any other persons whose beneficial ownership could be aggregated with the holders) would exceed 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election only upon 61 days' advance notice to the Issuer, provided that such percentage may in no event exceed 19.99% (the "Blocker"). As of the date of this Form 4, the Reporting Persons (as defined in footnote 3) cannot exercise their Pre-Funded Warrants due to the Blocker.
F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). VGI provides managerial services to various investment funds, including Opportunities Fund. Each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
F4: These Pre-Funded Warrants are held directly by Opportunities Fund. Because of the relationship between VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott, Ms. Shabet and Opportunities Fund, each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by Opportunities Fund.
F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
STANDARD BIOTOOLS INC.
Report date March 18, 2024 · Filed March 20, 2024
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 39,296,310 |
Reported balance
Holding disclosure · report date 2024-03-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 39,296,310 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F3: These securities are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 19,354,860 |
Reported balance
Holding disclosure · report date 2024-03-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 19,354,860 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These securities are held directly by VGOD. Because of the relationship between VGOD Portfolio GP, VGOD GP, Opportunities Parent and VGOD, each of VGOD Portfolio GP, VGOD GP and Opportunities Parent may be deemed to beneficially own the securities held directly by VGOD. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD").
F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F3: These securities are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F4: These securities are held directly by VGOD. Because of the relationship between VGOD Portfolio GP, VGOD GP, Opportunities Parent and VGOD, each of VGOD Portfolio GP, VGOD GP and Opportunities Parent may be deemed to beneficially own the securities held directly by VGOD.
F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
TIC Solutions, Inc.
Report date February 14, 2025 · Filed February 14, 2025
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 23,021,200 |
Reported balance
Holding disclosure · report date 2025-02-14 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 23,021,200 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F3: These securities are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 11,338,800 |
Reported balance
Holding disclosure · report date 2025-02-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 11,338,800 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These securities are held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD").
F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F3: These securities are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F4: These securities are held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD.
F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Past disclosures · reporting ended (16)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
4D Molecular Therapeutics, Inc.
Report date January 04, 2024 · Filed January 05, 2024
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Parent GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2024-01-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation Responses | 4,247,914 |
Reported balance
After 2024-01-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-01-04 · Sale · Disposed 540,000 · Balance 4,247,914 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). VGI provides managerial services to various investment funds, including Opportunities Fund. Each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2: VGI provides managerial services to Opportunities Fund, which directly holds the 4,247,914 shares of Common Stock reported herein. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities Parent is the sole member of Opportunities GP. Because of the relationship between Opportunities Parent and Opportunities GP, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). VGI provides managerial services to various investment funds, including Opportunities Fund. Each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
F2: VGI provides managerial services to Opportunities Fund, which directly holds the 4,247,914 shares of Common Stock reported herein. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities Parent is the sole member of Opportunities GP. Because of the relationship between Opportunities Parent and Opportunities GP, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
APi Group Corp
Report date June 17, 2024 · Filed June 18, 2024
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2024-06-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-06-17 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-06-17 · Sale · Disposed 1,912,750 · Balance 0 F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F3: These securities were held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-06-17 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2024-06-17 · Sale · Disposed 39,032 · Balance 0 F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These securities were held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 27,032,516 |
Reported balance
Holding disclosure · report date 2024-06-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 27,032,516 F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F5: These securities are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners"), Viking Global Performance LLC ("VGP") and Viking Global Opportunities Parent GP LLC ("Parent"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). Parent is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII").
F2: VGP, VGI, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII and Opportunities Fund, VGI may be deemed to beneficially own the securities held directly by VGEM, VGEII and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F3: These securities were held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the securities held directly by VGEM.
F4: These securities were held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the securities held directly by VGEII.
F5: These securities are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Amylyx Pharmaceuticals, Inc.
Report date September 08, 2022 · Filed September 10, 2022
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Parent GP LLC, Ott David C., Shabet Rose Sharon, DRAGSA 96 LLC
Section 16 reporting ended · disclosed 2022-09-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,789,821 |
Reported balance
After 2022-09-08 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-09-08 · Sale · Disposed 80,715 · Balance 4,789,821 F7: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.00 to $27.85. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (7) through (14) of this Form 4. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,681,190 |
Reported balance
After 2022-09-08 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-09-08 · Sale · Disposed 108,631 · Balance 4,681,190 F8: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.465. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,522,164 |
Reported balance
After 2022-09-08 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-09-08 · Sale · Disposed 159,026 · Balance 4,522,164 F9: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.52. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,506,168 |
Reported balance
After 2022-09-08 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2022-09-08 · Sale · Disposed 15,996 · Balance 4,506,168 F10: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.00 to $30.785. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,395,066 |
Reported balance
After 2022-09-08 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2022-09-08 · Sale · Disposed 111,102 · Balance 4,395,066 F11: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.00 to $32.71. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 2,261,884 |
Reported balance
After 2022-09-08 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2022-09-08 · Sale · Disposed 38,116 · Balance 2,261,884 F7: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.00 to $27.85. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (7) through (14) of this Form 4. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 2,210,586 |
Reported balance
After 2022-09-08 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2022-09-08 · Sale · Disposed 51,298 · Balance 2,210,586 F8: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.465. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 2,135,490 |
Reported balance
After 2022-09-08 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2022-09-08 · Sale · Disposed 75,096 · Balance 2,135,490 F9: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.52. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 2,127,936 |
Reported balance
After 2022-09-08 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2022-09-08 · Sale · Disposed 7,554 · Balance 2,127,936 F10: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.00 to $30.785. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 2,075,470 |
Reported balance
After 2022-09-08 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2022-09-08 · Sale · Disposed 52,466 · Balance 2,075,470 F11: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.00 to $32.71. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 4,082,713 |
Reported balance
After 2022-09-09 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2022-09-09 · Sale · Disposed 312,353 · Balance 4,082,713 F12: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.25 to $30.245. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 3,926,250 |
Reported balance
After 2022-09-09 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2022-09-09 · Sale · Disposed 156,463 · Balance 3,926,250 F13: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $31.2475. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 3,919,596 |
Reported balance
After 2022-09-09 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2022-09-09 · Sale · Disposed 6,654 · Balance 3,919,596 F14: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.25 to $31.61. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 1,927,968 |
Reported balance
After 2022-09-09 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2022-09-09 · Sale · Disposed 147,502 · Balance 1,927,968 F12: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.25 to $30.245. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 1,854,082 |
Reported balance
After 2022-09-09 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2022-09-09 · Sale · Disposed 73,886 · Balance 1,854,082 F13: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $31.2475. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 1,850,940 |
Reported balance
After 2022-09-09 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2022-09-09 · Sale · Disposed 3,142 · Balance 1,850,940 F14: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.25 to $31.61. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form.
F2: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund.
F3: Parent is the general partner of Opportunities GP. Opportunities GP serves as the sole member of Opportunities Portfolio GP. Opportunities Portfolio GP serves as the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund.
F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F5: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96.
F6: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96.
F7: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.00 to $27.85. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (7) through (14) of this Form 4.
F8: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.00 to $28.465.
F9: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.00 to $29.52.
F10: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.00 to $30.785.
F11: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.00 to $32.71.
F12: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.25 to $30.245.
F13: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $31.2475.
F14: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.25 to $31.61.
Arbutus Biopharma Corp
Report date July 10, 2019 · Filed July 13, 2019
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2019-07-13. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
BridgeBio Pharma, Inc.
Report date June 27, 2025 · Filed July 01, 2025
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2025-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 18,555,375 |
Reported balance
After 2025-06-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-06-27 · Sale · Disposed 3,500,000 · Balance 18,555,375 F1: This amount includes 155,000 shares of Common Stock sold on behalf of Viking Global Equities Master Ltd. ("VGEM"), 61,690 shares of Common Stock sold on behalf of Viking Long Fund Master Ltd. ("VLFM"), and 3,283,310 shares of Common Stock sold on behalf of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). F2: This amount includes 332,901 shares of Common Stock held directly by VGEM, 132,494 shares of Common Stock held directly by VLFM, and 18,089,980 shares of Common Stock held directly by Opportunities Fund. F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), which provides managerial services to VGEM, Viking Long Fund GP LLC ("VLFGP"), which provides managerial services to VLFM, and Viking Global Opportunities Parent GP LLC ("Parent"). VGI provides managerial services to various investment funds and vehicles, including VGEM, VLFM, and Opportunities Fund. Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP") is the general partner of Opportunities Fund. Viking Global Opportunities GP LLC ("Opportunities GP") is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. F4: Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent, and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP, and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund. Because of the relationship between VGI and each of VGEM, VLFM, and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VLFM, and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott, and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This amount includes 155,000 shares of Common Stock sold on behalf of Viking Global Equities Master Ltd. ("VGEM"), 61,690 shares of Common Stock sold on behalf of Viking Long Fund Master Ltd. ("VLFM"), and 3,283,310 shares of Common Stock sold on behalf of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").
F2: This amount includes 332,901 shares of Common Stock held directly by VGEM, 132,494 shares of Common Stock held directly by VLFM, and 18,089,980 shares of Common Stock held directly by Opportunities Fund.
F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), which provides managerial services to VGEM, Viking Long Fund GP LLC ("VLFGP"), which provides managerial services to VLFM, and Viking Global Opportunities Parent GP LLC ("Parent"). VGI provides managerial services to various investment funds and vehicles, including VGEM, VLFM, and Opportunities Fund. Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP") is the general partner of Opportunities Fund. Viking Global Opportunities GP LLC ("Opportunities GP") is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP.
F4: Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent, and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP, and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund. Because of the relationship between VGI and each of VGEM, VLFM, and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VLFM, and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott, and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
FIGS, Inc.
Report date September 02, 2021 · Filed September 03, 2021
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2021-09-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Explanation Responses | 14,742,689 |
Last balance in matching sequence
After 2021-09-03 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-09-02 · Sale · Disposed 157,587 · Balance 14,785,102 F5: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.39 to $48.34. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (5) and (6). F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2: VGI provides managerial services to Opportunities Fund, which directly holds the shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Row 2 · 2021-09-03 · Sale · Disposed 42,413 · Balance 14,742,689 F6: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.67 to $46.07. F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2: VGI provides managerial services to Opportunities Fund, which directly holds the shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
F2: VGI provides managerial services to Opportunities Fund, which directly holds the shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F5: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.39 to $48.34. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (5) and (6).
F6: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.67 to $46.07.
Frazier Lifesciences Acquisition Corp
Report date November 22, 2022 · Filed November 25, 2022
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Parent GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2022-11-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2022-11-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-22 · Conversion · Disposed 2,459,880 · Balance 0 F1: Pursuant to the terms outlined in the Business Combination Agreement, dated July 25, 2022, by and among NewAmsterdam Pharma Holding B.V., Frazier Lifesciences Acquisition Corporation, NewAmsterdam Pharma Investment Corporation, and NewAmsterdam Pharma Company B.V. ("Holdco"), each of these shares was automatically converted into a corresponding Class A ordinary share of Holdco ("Holdco Shares"). The Business Combination closed on November 22, 2022, on which date the closing price of the Issuer's Class A Ordinary Shares was $9.87. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("VGOP"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), which is the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), which is the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). VGI provides managerial services to various investment funds and vehicles, including VGOP and VGOD. F3: These shares (which were automatically converted into 2,459,880 Holdco Shares after the consummation of the Business Combination) are held directly by VGOP. Because of the relationship between VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott, Ms. Shabet and VGOP, each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by VGOP. F5: VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, VGOP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2022-11-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-11-22 · Conversion · Disposed 1,211,582 · Balance 0 F1: Pursuant to the terms outlined in the Business Combination Agreement, dated July 25, 2022, by and among NewAmsterdam Pharma Holding B.V., Frazier Lifesciences Acquisition Corporation, NewAmsterdam Pharma Investment Corporation, and NewAmsterdam Pharma Company B.V. ("Holdco"), each of these shares was automatically converted into a corresponding Class A ordinary share of Holdco ("Holdco Shares"). The Business Combination closed on November 22, 2022, on which date the closing price of the Issuer's Class A Ordinary Shares was $9.87. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("VGOP"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), which is the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), which is the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). VGI provides managerial services to various investment funds and vehicles, including VGOP and VGOD. F4: These shares (which were automatically converted into 1,211,582 Holdco Shares after the consummation of the Business Combination) are held directly by VGOD. Because of the relationship between VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott, Ms. Shabet and VGOD, each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by VGOD. F5: VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, VGOP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms outlined in the Business Combination Agreement, dated July 25, 2022, by and among NewAmsterdam Pharma Holding B.V., Frazier Lifesciences Acquisition Corporation, NewAmsterdam Pharma Investment Corporation, and NewAmsterdam Pharma Company B.V. ("Holdco"), each of these shares was automatically converted into a corresponding Class A ordinary share of Holdco ("Holdco Shares"). The Business Combination closed on November 22, 2022, on which date the closing price of the Issuer's Class A Ordinary Shares was $9.87.
F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), which is the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("VGOP"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), which is the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), which is the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). VGI provides managerial services to various investment funds and vehicles, including VGOP and VGOD.
F3: These shares (which were automatically converted into 2,459,880 Holdco Shares after the consummation of the Business Combination) are held directly by VGOP. Because of the relationship between VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott, Ms. Shabet and VGOP, each of VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by VGOP.
F4: These shares (which were automatically converted into 1,211,582 Holdco Shares after the consummation of the Business Combination) are held directly by VGOD. Because of the relationship between VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott, Ms. Shabet and VGOD, each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own the shares held directly by VGOD.
F5: VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, VGOP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Ginkgo Bioworks Holdings, Inc.
Report date March 02, 2022 · Filed March 05, 2022
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2022-03-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 51,055,144 |
Reported balance
After 2022-03-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-03-02 · Other · Disposed 288,000,000 · Balance 51,055,144 F1: The shares of Class A Common Stock were exchanged for shares of Class C Common Stock on a 1:1 basis pursuant to an agreement between the Reporting Persons and Ginkgo Bioworks Holdings, Inc. (the "Issuer"), without payment of additional consideration. The Class C Common Stock is convertible into Class A Common Stock, on a one-for-one basis, at the holder's option and for no additional consideration, upon at least sixty-one (61) days' prior written notice to the Issuer. The Class C Common Stock has no expiration date. The Class C Common Stock has no expiration date. F6: Includes 36,112,170 earn-out shares that are subject to forfeiture if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00. As of the date of this Form 4, 9,028,042 earn-out shares are no longer subject to forfeiture. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F3: VGI provides managerial services to Opportunities Fund, which directly holds the shares reported herein. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Class C Common StockSEC Table II · derivative / convertible security | IndirectSee Explanation of Responses | 288,000,000 |
Reported balance
After 2022-03-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-02 · Other · Acquired 288,000,000 · Balance 288,000,000 F1: The shares of Class A Common Stock were exchanged for shares of Class C Common Stock on a 1:1 basis pursuant to an agreement between the Reporting Persons and Ginkgo Bioworks Holdings, Inc. (the "Issuer"), without payment of additional consideration. The Class C Common Stock is convertible into Class A Common Stock, on a one-for-one basis, at the holder's option and for no additional consideration, upon at least sixty-one (61) days' prior written notice to the Issuer. The Class C Common Stock has no expiration date. The Class C Common Stock has no expiration date. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F3: VGI provides managerial services to Opportunities Fund, which directly holds the shares reported herein. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F4: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class A Common Stock were exchanged for shares of Class C Common Stock on a 1:1 basis pursuant to an agreement between the Reporting Persons and Ginkgo Bioworks Holdings, Inc. (the "Issuer"), without payment of additional consideration. The Class C Common Stock is convertible into Class A Common Stock, on a one-for-one basis, at the holder's option and for no additional consideration, upon at least sixty-one (61) days' prior written notice to the Issuer. The Class C Common Stock has no expiration date. The Class C Common Stock has no expiration date.
F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form.
F3: VGI provides managerial services to Opportunities Fund, which directly holds the shares reported herein. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund.
F4: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund.
F5: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F6: Includes 36,112,170 earn-out shares that are subject to forfeiture if the Issuer's Class A Common Stock achieves a price per share for any period of 20 trading days out of 30 consecutive trading days prior to September 16, 2026 that equals or exceeds the following thresholds: $12.50, $15.00, $17.50 and $20.00. As of the date of this Form 4, 9,028,042 earn-out shares are no longer subject to forfeiture.
Inhibrx Biosciences, Inc.
Report date October 07, 2025 · Filed October 09, 2025
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2025-10-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 1,267,823 |
Reported balance
After 2025-10-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-10-07 · Sale · Disposed 308,643 · Balance 1,267,823 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F3: These shares of Common Stock are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 67,018 |
Reported balance
After 2025-10-07 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-10-07 · Sale · Disposed 16,315 · Balance 67,018 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These shares of Common Stock are held directly by KAVRA 104. The membership interests of KAVRA 104 are held by Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP, Opportunities Parent and KAVRA 104, each of Opportunities GP and Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by KAVRA 104. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 102,864 |
Reported balance
After 2025-10-07 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-10-07 · Sale · Disposed 25,042 · Balance 102,864 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F5: These shares of Common Stock are held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD").
F2: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F3: These shares of Common Stock are held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F4: These shares of Common Stock are held directly by KAVRA 104. The membership interests of KAVRA 104 are held by Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP, Opportunities Parent and KAVRA 104, each of Opportunities GP and Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by KAVRA 104.
F5: These shares of Common Stock are held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD.
F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Inhibrx, Inc.
Report date May 30, 2024 · Filed June 03, 2024
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Illiquid Investments Sub-Master LP, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2024-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-05-30 · Other · Disposed 6,305,866 · Balance 0 F1: Under the Agreement and Plan of Merger, dated January 22, 2024 (the "Merger Agreement"), by and among Inhibrx, Inc. (the "Issuer"), Aventis Inc., a Pennsylvania corporation ("Parent") and wholly owned subsidiary of Sanofi, and Art Acquisition Sub, Inc., a Delaware corporation ("Merger Sub") and wholly owned subsidiary of Parent, following satisfaction or waiver of the closing conditions set forth in the Merger Agreement, on May 30, 2024, Merger Sub merged with and into the Issuer with the Issuer surviving as the surviving company (the "Merger"). F5: Reported amount has been adjusted to reflect the transfer of 3,878,559 shares of Common Stock held directly by DRAGSA 50 LLC to Opportunities Fund, which transfer was exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-13 under the Exchange Act. F2: In the Merger, each of these shares of Common Stock was automatically cancelled, extinguished and converted into the right to receive (i) an amount in cash equal to $30.00, without interest thereon (the "Closing Amount"), plus (ii) one (1) contractual contingent value right ("CVR") representing the right to receive a contingent payment of $5.00, without interest thereon, in cash (the "Milestone Payment"), upon the achievement of certain regulatory milestones ("Milestone") set forth in the Contingent Value Rights Agreement between Parent and Continental Stock Transfer & Trust Company ((i) and (ii) collectively, the "Merger Consideration"). F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F4: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F6: These securities were held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F9: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-05-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-05-30 · Other · Disposed 333,333 · Balance 0 F1: Under the Agreement and Plan of Merger, dated January 22, 2024 (the "Merger Agreement"), by and among Inhibrx, Inc. (the "Issuer"), Aventis Inc., a Pennsylvania corporation ("Parent") and wholly owned subsidiary of Sanofi, and Art Acquisition Sub, Inc., a Delaware corporation ("Merger Sub") and wholly owned subsidiary of Parent, following satisfaction or waiver of the closing conditions set forth in the Merger Agreement, on May 30, 2024, Merger Sub merged with and into the Issuer with the Issuer surviving as the surviving company (the "Merger"). F2: In the Merger, each of these shares of Common Stock was automatically cancelled, extinguished and converted into the right to receive (i) an amount in cash equal to $30.00, without interest thereon (the "Closing Amount"), plus (ii) one (1) contractual contingent value right ("CVR") representing the right to receive a contingent payment of $5.00, without interest thereon, in cash (the "Milestone Payment"), upon the achievement of certain regulatory milestones ("Milestone") set forth in the Contingent Value Rights Agreement between Parent and Continental Stock Transfer & Trust Company ((i) and (ii) collectively, the "Merger Consideration"). F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F4: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F7: These shares of Common Stock were held directly by KAVRA 104. The membership interests of KAVRA 104 are held by Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP, Opportunities Parent and KAVRA 104, each of Opportunities GP and Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by KAVRA 104. F9: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-05-30 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2024-05-30 · Other · Disposed 511,627 · Balance 0 F1: Under the Agreement and Plan of Merger, dated January 22, 2024 (the "Merger Agreement"), by and among Inhibrx, Inc. (the "Issuer"), Aventis Inc., a Pennsylvania corporation ("Parent") and wholly owned subsidiary of Sanofi, and Art Acquisition Sub, Inc., a Delaware corporation ("Merger Sub") and wholly owned subsidiary of Parent, following satisfaction or waiver of the closing conditions set forth in the Merger Agreement, on May 30, 2024, Merger Sub merged with and into the Issuer with the Issuer surviving as the surviving company (the "Merger"). F2: In the Merger, each of these shares of Common Stock was automatically cancelled, extinguished and converted into the right to receive (i) an amount in cash equal to $30.00, without interest thereon (the "Closing Amount"), plus (ii) one (1) contractual contingent value right ("CVR") representing the right to receive a contingent payment of $5.00, without interest thereon, in cash (the "Milestone Payment"), upon the achievement of certain regulatory milestones ("Milestone") set forth in the Contingent Value Rights Agreement between Parent and Continental Stock Transfer & Trust Company ((i) and (ii) collectively, the "Merger Consideration"). F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F4: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F8: These shares of Common Stock were held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD. F9: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-05-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-05-30 · Other · Disposed 1,038,765 · Balance 0 F1: Under the Agreement and Plan of Merger, dated January 22, 2024 (the "Merger Agreement"), by and among Inhibrx, Inc. (the "Issuer"), Aventis Inc., a Pennsylvania corporation ("Parent") and wholly owned subsidiary of Sanofi, and Art Acquisition Sub, Inc., a Delaware corporation ("Merger Sub") and wholly owned subsidiary of Parent, following satisfaction or waiver of the closing conditions set forth in the Merger Agreement, on May 30, 2024, Merger Sub merged with and into the Issuer with the Issuer surviving as the surviving company (the "Merger"). F12: In the Merger, these warrants were automatically cancelled and converted into the right to receive the Merger Consideration to which the holder of these warrants would be entitled as a result of the Merger if it held the number of shares of Common Stock for which such warrants were exercisable immediately prior to the Merger, assuming full exercise of such warrants on a cashless basis without regard to the Beneficial Ownership Limitation. F10: These warrants were exercisable immediately prior to the Merger, subject to a beneficial ownership limitation (the "Beneficial Ownership Limitation") that prevented the holder from exercising the warrants to the extent that, after giving effect to the issuance of the shares of Common Stock upon exercise of warrants held by the holder, the holder would beneficially own in excess of 9.99% of the shares of Common Stock outstanding. F11: These warrants had no expiration date. F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F4: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F6: These securities were held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F9: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Under the Agreement and Plan of Merger, dated January 22, 2024 (the "Merger Agreement"), by and among Inhibrx, Inc. (the "Issuer"), Aventis Inc., a Pennsylvania corporation ("Parent") and wholly owned subsidiary of Sanofi, and Art Acquisition Sub, Inc., a Delaware corporation ("Merger Sub") and wholly owned subsidiary of Parent, following satisfaction or waiver of the closing conditions set forth in the Merger Agreement, on May 30, 2024, Merger Sub merged with and into the Issuer with the Issuer surviving as the surviving company (the "Merger").
F2: In the Merger, each of these shares of Common Stock was automatically cancelled, extinguished and converted into the right to receive (i) an amount in cash equal to $30.00, without interest thereon (the "Closing Amount"), plus (ii) one (1) contractual contingent value right ("CVR") representing the right to receive a contingent payment of $5.00, without interest thereon, in cash (the "Milestone Payment"), upon the achievement of certain regulatory milestones ("Milestone") set forth in the Contingent Value Rights Agreement between Parent and Continental Stock Transfer & Trust Company ((i) and (ii) collectively, the "Merger Consideration").
F3: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD").
F4: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund, VGOD, and KAVRA 104 LLC ("KAVRA 104"). VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons." Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F5: Reported amount has been adjusted to reflect the transfer of 3,878,559 shares of Common Stock held directly by DRAGSA 50 LLC to Opportunities Fund, which transfer was exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-13 under the Exchange Act.
F6: These securities were held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F7: These shares of Common Stock were held directly by KAVRA 104. The membership interests of KAVRA 104 are held by Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP, Opportunities Parent and KAVRA 104, each of Opportunities GP and Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by KAVRA 104.
F8: These shares of Common Stock were held directly by VGOD. Because of the relationship between Opportunities Parent and VGOD, Opportunities Parent may be deemed to beneficially own the shares of Common Stock held directly by VGOD.
F9: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
F10: These warrants were exercisable immediately prior to the Merger, subject to a beneficial ownership limitation (the "Beneficial Ownership Limitation") that prevented the holder from exercising the warrants to the extent that, after giving effect to the issuance of the shares of Common Stock upon exercise of warrants held by the holder, the holder would beneficially own in excess of 9.99% of the shares of Common Stock outstanding.
F11: These warrants had no expiration date.
F12: In the Merger, these warrants were automatically cancelled and converted into the right to receive the Merger Consideration to which the holder of these warrants would be entitled as a result of the Merger if it held the number of shares of Common Stock for which such warrants were exercisable immediately prior to the Merger, assuming full exercise of such warrants on a cashless basis without regard to the Beneficial Ownership Limitation.
Myovant Sciences Ltd.
Report date July 10, 2019 · Filed July 13, 2019
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2019-07-13. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
RayzeBio, Inc.
Report date February 26, 2024 · Filed February 28, 2024
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Parent GP LLC, Viking Global Opportunities Drawdown GP LLC, Viking Global Opportunities Drawdown Portfolio GP LLC, Viking Global Opportunities Drawdown (Aggregator) LP, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2024-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-02-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-26 · Other · Disposed 4,899,144 · Balance 0 F1: Upon completion of the merger of the Issuer with a wholly-owned subsidiary of Bristol-Myers Squibb Company on February 26, 2024, these shares of common stock of the Issuer were automatically converted into the right to receive $62.50 per share in cash, without interest and subject to any applicable withholding of taxes. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F3: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGOD GP, VGOD Portfolio GP, VGOD, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These securities were held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 0 |
Reported balance
After 2024-02-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-02-26 · Other · Disposed 1,743,556 · Balance 0 F1: Upon completion of the merger of the Issuer with a wholly-owned subsidiary of Bristol-Myers Squibb Company on February 26, 2024, these shares of common stock of the Issuer were automatically converted into the right to receive $62.50 per share in cash, without interest and subject to any applicable withholding of taxes. F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"). F3: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGOD GP, VGOD Portfolio GP, VGOD, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F5: These securities were held directly by VGOD. Because of the relationship between VGOD Portfolio GP, VGOD GP, Opportunities Parent and VGOD, each of VGOD Portfolio GP, VGOD GP and Opportunities Parent may be deemed to beneficially own the securities held directly by VGOD. F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon completion of the merger of the Issuer with a wholly-owned subsidiary of Bristol-Myers Squibb Company on February 26, 2024, these shares of common stock of the Issuer were automatically converted into the right to receive $62.50 per share in cash, without interest and subject to any applicable withholding of taxes.
F2: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), and Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), the general partner of Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Opportunities Parent is also the sole member of Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), the sole member of Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), the general partner of Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD").
F3: VGI provides managerial services to various investment funds and vehicles, including Opportunities Fund and VGOD. VGI, Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGOD GP, VGOD Portfolio GP, VGOD, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Each of VGI, Opportunities Parent, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F4: These securities were held directly by Opportunities Fund. Because of the relationship between Opportunities Portfolio GP, Opportunities GP, Opportunities Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Opportunities Parent may be deemed to beneficially own the securities held directly by Opportunities Fund.
F5: These securities were held directly by VGOD. Because of the relationship between VGOD Portfolio GP, VGOD GP, Opportunities Parent and VGOD, each of VGOD Portfolio GP, VGOD GP and Opportunities Parent may be deemed to beneficially own the securities held directly by VGOD.
F6: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Roivant Sciences Ltd.
Report date June 22, 2023 · Filed June 26, 2023
Jointly reported with VIKING GLOBAL INVESTORS LP, Ott David C., Shabet Rose Sharon, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities GP LLC, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities Parent GP LLC
Section 16 reporting ended · disclosed 2023-06-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 641,010 |
Reported balance
After 2023-06-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-06-22 · Sale · Disposed 110,756 · Balance 641,010 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F3: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 31,409,512 |
Reported balance
After 2023-06-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-06-22 · Sale · Disposed 5,427,043 · Balance 31,409,512 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F4: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 30,303,871 |
Reported balance
After 2023-06-22 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-06-22 · Sale · Disposed 5,236,006 · Balance 30,303,871 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F5: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common SharesSEC Table I · non-derivative | IndirectSee Explanation of Responses | 12,884,307 |
Reported balance
After 2023-06-22 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-06-22 · Sale · Disposed 2,226,195 · Balance 12,884,307 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form. F6: These shares are held directly by VLFM. VLFGP provides managerial services to VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares held directly by VLFM. F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP"), and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Equities Master Ltd. ("VGEM"), Viking Global Equities II LP ("VGEII"), Viking Long Fund Master Ltd. ("VLFM"), and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund").
F2: VGI, VGP, VLFGP, Parent, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, VGEM, VGEII, VLFM, Mr. Halvorsen, Mr. Ott and Ms. Shabet are, collectively, the "Reporting Persons". Because of the relationship between VGI and each of VGEM, VGEII, VLFM and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by VGEM, VGEII, VLFM and Opportunities Fund. Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet may be deemed to beneficially own all of the securities reported on this form.
F3: These shares are held directly by VGEII. VGP is the general partner of VGEII. Because of the relationship between VGP and VGEII, VGP may be deemed to beneficially own the shares held directly by VGEII.
F4: These shares are held directly by VGEM. VGP provides managerial services to VGEM. Because of the relationship between VGP and VGEM, VGP may be deemed to beneficially own the shares held directly by VGEM.
F5: These shares are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Opportunities GP is the sole member of Opportunities Portfolio GP. Parent is the sole member of Opportunities GP. Because of the relationship between each of Opportunities Portfolio GP, Opportunities GP, Parent and Opportunities Fund, each of Opportunities Portfolio GP, Opportunities GP and Parent may be deemed to beneficially own the shares held directly by Opportunities Fund.
F6: These shares are held directly by VLFM. VLFGP provides managerial services to VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares held directly by VLFM.
F7: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
Sio Gene Therapies Inc.
Report date July 10, 2019 · Filed July 13, 2019
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2019-07-13. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Urovant Sciences Ltd.
Report date July 10, 2019 · Filed July 13, 2019
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2019-07-13. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Zentalis Pharmaceuticals, Inc.
Report date December 01, 2020 · Filed December 03, 2020
Jointly reported with VIKING GLOBAL INVESTORS LP, Viking Global Opportunities Illiquid Investments Sub-Master LP, Viking Global Opportunities Portfolio GP LLC, Viking Global Opportunities GP LLC, Ott David C., Shabet Rose Sharon
Section 16 reporting ended · disclosed 2020-12-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Explanation of Responses | 3,943,284 |
Reported balance
After 2020-12-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-01 · Sale · Disposed 500,000 · Balance 3,943,284 F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2: On December 1, 2020, Opportunities Fund sold 500,000 shares of common stock of the Issuer ("Common Stock") at a price of $50.50 per share. VGI provides managerial services to Opportunities Fund, which directly holds the 3,943,284 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.
F2: On December 1, 2020, Opportunities Fund sold 500,000 shares of common stock of the Issuer ("Common Stock") at a price of $50.50 per share. VGI provides managerial services to Opportunities Fund, which directly holds the 3,943,284 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F3: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.
F4: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| January 11, 2022 Filed Jan 14, 2022 02:05 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | PurchaseCommon Stock | 2,300,000 | $19.00 | $43,700,000.00 |
DisclosureSEC source: 0001140361-22-001654 · form4.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner Viking Global Opportunities Parent GP LLC · CIK 0001886738 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 2,300,000 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F6 · ownership.nature: These shares are held directly by DRAGSA 96. Because of the relationship between VGI and DRAGSA 96, VGI may be deemed to beneficially own the shares held directly by DRAGSA 96. F7 · ownership.nature: The membership interests of DRAGSA 96 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Because of the relationship between Parent, Opportunities GP and DRAGSA 96, each of Parent and Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 96. Read SEC document |
| January 11, 2022 Filed Jan 14, 2022 02:05 UTC | Amylyx Pharmaceuticals, Inc. AMLX · Entity 259 | ConversionCommon Stock | 4,870,536 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-22-001654 · form4.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner Viking Global Opportunities Parent GP LLC · CIK 0001886738 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 4,870,536 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each share of Series C-1 preferred stock was convertible on a one-for-one basis into Common Stock at any time at the election of the Reporting Persons and automatically converted upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 of Table II without payment or further consideration. The Series C-1 Preferred stock had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities Parent GP LLC ("Parent"), which is the sole member of Viking Global Opportunities GP LLC ("Opportunities GP"), which is the sole member of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 96 LLC ("DRAGSA 96"). Each of VGI, Parent, Opportunities GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Parent, Opportunities GP, Opportunities Portfolio GP and Opportunities Fund, each of Parent, Opportunities GP and Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| January 03, 2022 Filed Jan 6, 2022 01:20 UTC | APi Group Corp API · Entity 3311 | Purchase5.5% Series B Perpetual Convertible Preferred Stock · Derivative | 4,000 | $1,000.00 Strike: $24.60 | $4,000,000.00 |
DisclosureSEC source: 0001387131-22-000095 · api010322.xml · derivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Viking Global Equities II LP Disclosed balance after: 4,000 Underlying: Common Stock · 162,602 shares Expires not disclosed F1 · derivative.exercise_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock). F1 · derivative.expiration_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock). F2 · derivative.underlying_shares: Each share of Series B Preferred Stock will be convertible at the option of the holder into a whole number of shares of Common Stock, determined by dividing the sum of $1,000 per share of Series B Preferred Stock and any accrued and unpaid quarterly dividends thereon on the conversion date by the then-applicable conversion price except that such conversion is not permitted if a "Fundamental Change" repurchase notice has been delivered with respect to such share or shares (subject to certain exceptions), such share or shares have been called for redemption (subject to certain exceptions), such share or shares are subject to a mandatory conversion and such notice and surrender is submitted after the close of business on the business day immediately prior to the mandatory conversion date or the Company does not have sufficient authorized and unissued and unreserved shares of common stock to effect such conversion. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners") and Viking Global Performance LLC ("VGP"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). VGI provides managerial services to Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). In addition, VGP is the general partner to VGEII and investment manager to VGEM. Each of Global Partners, VGP, VGI, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the securities reported on this form. F4 · ownership.nature: VGI provides managerial services to VGEM, which directly holds 196,000 shares of Series B Preferred Stock, and VGEII which directly holds 4,000 shares of Series B Preferred Stock. Because of the relationship between VGI, VGEM and VGEII, VGI may be deemed to beneficially own the shares of Series B Preferred Stock held directly by VGEM and VGEII. F5 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| January 03, 2022 Filed Jan 6, 2022 01:20 UTC | APi Group Corp API · Entity 3311 | Purchase5.5% Series B Perpetual Convertible Preferred Stock · Derivative | 196,000 | $1,000.00 Strike: $24.60 | $196,000,000.00 |
DisclosureSEC source: 0001387131-22-000095 · api010322.xml · derivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Viking Global Equities Master Ltd. Disclosed balance after: 196,000 Underlying: Common Stock · 7,967,479 shares Expires not disclosed F1 · derivative.exercise_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock). F1 · derivative.expiration_date: The 5.5% Series B Perpetual Convertible Preferred Stock ("Series B Preferred Stock") has no expiration date and is convertible at any time at the option of the holder, or the Issuer may, at its option, effect conversion of all, but not less than all, of the outstanding shares of Series B Preferred Stock to Issuer common stock, par value $0.0001 per share ("Common Stock"), but only if the volume-weighted average price of the Common Stock (determined as provided in the Series B Certificate of Designation) for 15 consecutive trading days exceeds 150% of the conversion price equal to $24.60 per share (subject to certain customary adjustments in the event of certain events affecting the price of the common stock). F2 · derivative.underlying_shares: Each share of Series B Preferred Stock will be convertible at the option of the holder into a whole number of shares of Common Stock, determined by dividing the sum of $1,000 per share of Series B Preferred Stock and any accrued and unpaid quarterly dividends thereon on the conversion date by the then-applicable conversion price except that such conversion is not permitted if a "Fundamental Change" repurchase notice has been delivered with respect to such share or shares (subject to certain exceptions), such share or shares have been called for redemption (subject to certain exceptions), such share or shares are subject to a mandatory conversion and such notice and surrender is submitted after the close of business on the business day immediately prior to the mandatory conversion date or the Company does not have sufficient authorized and unissued and unreserved shares of common stock to effect such conversion. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of Viking Global Partners LLC ("Global Partners") and Viking Global Performance LLC ("VGP"). Global Partners is the general partner of Viking Global Investors LP ("VGI"). VGI provides managerial services to Viking Global Equities Master Ltd. ("VGEM") and Viking Global Equities II LP ("VGEII"). In addition, VGP is the general partner to VGEII and investment manager to VGEM. Each of Global Partners, VGP, VGI, VGEM, VGEII, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the securities reported on this form. F4 · ownership.nature: VGI provides managerial services to VGEM, which directly holds 196,000 shares of Series B Preferred Stock, and VGEII which directly holds 4,000 shares of Series B Preferred Stock. Because of the relationship between VGI, VGEM and VGEII, VGI may be deemed to beneficially own the shares of Series B Preferred Stock held directly by VGEM and VGEII. F5 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionSeries G Preferred Stock · Derivative | 113,737 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · derivative · entry 7 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 0 Underlying: Common Stock · 113,737 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. F7 · derivative.exercise_price: The Series G Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F7 · derivative.exercise_date: The Series G Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F7 · derivative.expiration_date: The Series G Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionSeries F Preferred Stock · Derivative | 678,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · derivative · entry 6 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 0 Underlying: Common Stock · 678,985 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. F6 · derivative.exercise_price: The Series F Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F6 · derivative.exercise_date: The Series F Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F6 · derivative.expiration_date: The Series F Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionSeries E Preferred Stock · Derivative | 3,407,028 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · derivative · entry 5 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 0 Underlying: Common Stock · 3,407,028 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: The Series E Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the closing of the initial public offering (the "Closing") of PROCEPT BioRobotics Corp (the "Issuer"). The shares had no expiration date. F5 · derivative.exercise_date: The Series E Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the closing of the initial public offering (the "Closing") of PROCEPT BioRobotics Corp (the "Issuer"). The shares had no expiration date. F5 · derivative.expiration_date: The Series E Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the closing of the initial public offering (the "Closing") of PROCEPT BioRobotics Corp (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | PurchaseCommon Stock | 400,000 | $35.00 | $14,000,000.00 |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · nonDerivative · entry 4 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 400,000 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F8 · ownership.nature: These shares are held directly by DRAGSA 88. VGI provides managerial services to DRAGSA 88. Because of the relationship between VGI and DRAGSA 88, VGI may be deemed to beneficially own the shares held directly by DRAGSA 88. F9 · ownership.nature: The membership interests of DRAGSA 88 are held by Viking Global Opportunities Intermediate LP and Viking Global Opportunities LP. Opportunities GP is the general partner of Viking Global Opportunities LP and Viking Global Opportunities Intermediate LP. Because of the relationship between Opportunities GP and DRAGSA 88, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by DRAGSA 88. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionCommon Stock | 113,737 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · nonDerivative · entry 3 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 4,507,892 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. F7 · price: The Series G Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionCommon Stock | 678,985 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 4,394,155 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. F6 · price: The Series F Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the Closing. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 17, 2021 Filed Sep 21, 2021 20:27 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | ConversionCommon Stock | 3,407,028 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-017393 · doc1.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner DRAGSA 88 LLC · CIK 0001883348 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 3,715,170 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: The Series E Preferred Units were convertible into shares of Common Stock on a 1:1 basis, at the Reporting Person's election, without payment of further consideration, and automatically converted immediately prior to the closing of the initial public offering (the "Closing") of PROCEPT BioRobotics Corp (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund") and DRAGSA 88 LLC ("DRAGSA 88"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares are held directly by Opportunities Fund. VGI provides managerial services to Opportunities Fund. Because of the relationship between VGI and Opportunities Fund, VGI may be deemed to beneficially own the shares held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 03, 2021 Filed Sep 3, 2021 23:28 UTC | FIGS, Inc. FIGS · Entity 4347 | SaleClass A Common Stock | 42,413 | $44.92 | $1,905,191.96 |
DisclosureSEC source: 0001567619-21-016763 · doc1.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 14,742,689 F6 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.67 to $46.07. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: VGI provides managerial services to Opportunities Fund, which directly holds the shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| September 02, 2021 Filed Sep 3, 2021 23:28 UTC | FIGS, Inc. FIGS · Entity 4347 | SaleClass A Common Stock | 157,587 | $47.28 | $7,450,713.36 |
DisclosureSEC source: 0001567619-21-016763 · doc1.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 14,785,102 F5 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $45.39 to $48.34. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (5) and (6). F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: VGI provides managerial services to Opportunities Fund, which directly holds the shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| July 29, 2021 Filed Aug 3, 2021 00:40 UTC | Rallybio Corp RLYB · Entity 6838 | ConversionSeries B Preferred Units · Derivative | 21,578,387 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-21-007995 · ownership.xml · derivative · entry 3 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 Underlying: Common Stock · 3,388,777 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date. F5 · price: The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date. F5 · derivative.exercise_date: The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date. F5 · derivative.expiration_date: The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On July 27, 2021, Opportunities Fund acquired 806,000 shares of common stock of the Issuer ("Common Stock") at a price of $13.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,194,777 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| July 29, 2021 Filed Aug 3, 2021 00:40 UTC | Rallybio Corp RLYB · Entity 6838 | PurchaseCommon Stock | 806,000 | $13.00 | $10,478,000.00 |
DisclosureSEC source: 0001387131-21-007995 · ownership.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 4,194,777 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On July 27, 2021, Opportunities Fund acquired 806,000 shares of common stock of the Issuer ("Common Stock") at a price of $13.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,194,777 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| July 29, 2021 Filed Aug 3, 2021 00:40 UTC | Rallybio Corp RLYB · Entity 6838 | ConversionCommon Stock | 3,388,777 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-21-007995 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 3,388,777 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: The Series B Preferred Units were convertible into Common Stock on a 1:0.157 basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of Rallybio Corporation (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On July 27, 2021, Opportunities Fund acquired 806,000 shares of common stock of the Issuer ("Common Stock") at a price of $13.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,194,777 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:15 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 833,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · derivative · entry 5 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 Underlying: Common Stock · 833,333 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date. F6 · price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date. F6 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date. F6 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:15 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionSeries B Redeemable Convertible Preferred Stock · Derivative | 2,004,581 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · derivative · entry 4 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 Underlying: Common Stock · 2,004,581 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date. F5 · price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date. F5 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date. F5 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:15 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | PurchaseCommon Stock | 1,100,000 | $23.00 | $25,300,000.00 |
DisclosureSEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 3 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 3,937,914 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:15 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionCommon Stock | 833,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 2,837,914 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. F6 · price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 15, 2020 Filed Dec 18, 2020 02:15 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionCommon Stock | 2,004,581 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation Responses Disclosed balance after: 2,004,581 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date. F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 02:03 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | SaleCommon Stock | 1,000,000 | $55.65 | $55,650,000.00 |
DisclosureSEC source: 0001387131-20-011164 · adpt-form4_121420.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 29,993,708 F1 · shares: On December 14, 2020, the Viking Funds (defined below) sold an aggregate of 1,000,000 shares of common stock of the Issuer ("Common Stock") at a price of $55.65 per share.VGE II sold 14,671 shares, VGEM sold 718,897 shares and VLFM sold 266,432 shares. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP") and Viking Long Fund GP LLC ("VLFGP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II") and Viking Global Equities Master Ltd. ("VGEM") and Viking Long Fund Master Ltd. ("VLFM" and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3 · ownership.nature: VGP is the general partner of VGE II. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; and (iii) VLFM, which directly holds 8,257,951 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 23:30 UTC | Zentalis Pharmaceuticals, Inc. ZNTL · Entity 5772 | SaleCommon Stock | 500,000 | $50.50 | $25,250,000.00 |
DisclosureSEC source: 0001387131-20-010443 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 3,943,284 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On December 1, 2020, Opportunities Fund sold 500,000 shares of common stock of the Issuer ("Common Stock") at a price of $50.50 per share. VGI provides managerial services to Opportunities Fund, which directly holds the 3,943,284 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| November 11, 2020 Filed Nov 14, 2020 02:01 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | SaleCommon Stock | 2,500,000 | $49.52 | $123,787,500.00 |
DisclosureSEC source: 0001387131-20-009937 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 30,993,708 F1 · shares: On November 11, 2020, the Viking Funds (defined below) sold an aggregate of 2,500,000 shares of common stock of the Issuer ("Common Stock") at a price of $49.5150 per share.VGE II sold 18,326 shares, VGEM sold 897,994 shares, VLFM sold 332,821 shares and Opportunities Fund sold 1,250,859 shares. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; (iii) VLFM, which directly holds 8,257,951 shares of Common Stock; and (iv) Opportunities Fund, which does not directly hold shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 21:00 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | SaleCommon Stock | 2,500,000 | $49.52 | $123,787,500.00 |
DisclosureSEC source: 0001387131-20-009936 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 30,993,708 F1 · shares: On November 11, 2020, the Viking Funds (defined below) sold an aggregate of 2,500,000 shares of common stock of the Issuer ("Common Stock") at a price of $49.5150 per share.VGE II sold 18,326 shares, VGEM sold 897,994 shares, VLFM sold 332,821 shares and Opportunities Fund sold 1,250,859 shares. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 454,717 shares of Common Stock; (ii) VGEM, which directly holds 22,281,040 shares of Common Stock; (iii) VLFM, which directly holds 8,257,951 shares of Common Stock; and (iv) Opportunities Fund, which does not directly hold shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| August 26, 2020 Filed Aug 28, 2020 20:29 UTC | Inhibrx, Inc. INBX · Entity 90351 | PurchaseCommon Stock | 100,000 | $18.99 | $1,898,700.00 |
DisclosureSEC source: 0001387131-20-008019 · ownership.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner DRAGSA 50 LLC · CIK 0001822130 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 1,427,307 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), DRAGSA 49 LLC ("DRAGSA 49") and DRAGSA 50 LLC ("DRAGSA 50"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares of Common Stock are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| August 26, 2020 Filed Aug 28, 2020 20:29 UTC | Inhibrx, Inc. INBX · Entity 90351 | PurchaseCommon Stock | 80,219 | $18.84 | $1,511,165.52 |
DisclosureSEC source: 0001387131-20-008019 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner DRAGSA 50 LLC · CIK 0001822130 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 1,327,307 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), DRAGSA 49 LLC ("DRAGSA 49") and DRAGSA 50 LLC ("DRAGSA 50"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares of Common Stock are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| August 25, 2020 Filed Aug 25, 2020 23:47 UTC | Inhibrx, Inc. INBX · Entity 90351 | PurchaseCommon Stock | 70,479 | $19.39 | $1,366,587.81 |
DisclosureSEC source: 0001387131-20-007889 · ownership.xml · nonDerivative · entry 3 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner DRAGSA 50 LLC · CIK 0001822130 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 1,247,088 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), DRAGSA 49 LLC ("DRAGSA 49") and DRAGSA 50 LLC ("DRAGSA 50"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares of Common Stock are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| August 25, 2020 Filed Aug 25, 2020 23:47 UTC | Inhibrx, Inc. INBX · Entity 90351 | PurchaseCommon Stock | 14,825 | $19.23 | $285,099.58 |
DisclosureSEC source: 0001387131-20-007889 · ownership.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner DRAGSA 50 LLC · CIK 0001822130 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 1,176,609 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), DRAGSA 49 LLC ("DRAGSA 49") and DRAGSA 50 LLC ("DRAGSA 50"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares of Common Stock are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| August 24, 2020 Filed Aug 25, 2020 23:47 UTC | Inhibrx, Inc. INBX · Entity 90351 | PurchaseCommon Stock | 46,161 | $19.43 | $897,000.55 |
DisclosureSEC source: 0001387131-20-007889 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner DRAGSA 50 LLC · CIK 0001822130 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 1,161,784 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds and vehicles, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"), DRAGSA 49 LLC ("DRAGSA 49") and DRAGSA 50 LLC ("DRAGSA 50"). Each of VGI, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own all of the securities reported on this form. F2 · ownership.nature: These shares of Common Stock are held directly by Opportunities Fund. Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 07, 2020 Filed Apr 9, 2020 00:33 UTC | Zentalis Pharmaceuticals, Inc. ZNTL · Entity 5772 | PurchaseCommon Stock | 725,000 | $18.00 | $13,050,000.00 |
DisclosureSEC source: 0001387131-20-003800 · ownership.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 4,443,284 F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F2 · ownership.nature: On April 7, 2020, Opportunities Fund acquired 750,000 shares of common stock of the Issuer ("Common Stock") at a price of $18 per share in connection with Zentalis Pharmaceutical, Inc.'s initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 4,443,284 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 21:52 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | SaleCommon Stock | 4,912,899 | $24.98 | $122,706,039.29 |
DisclosureSEC source: 0000903423-20-000010 · adaptive.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 33,493,708 F1 · shares: On January 28, 2020, the Viking Funds (defined below) sold an aggregate of 4,912,899 shares of common stock of the Issuer ("Common Stock") at a price of $24.9763 per share in connection with the Issuer's secondary offering (the "Secondary Offering"). VGE II sold 69,386 shares in the Secondary Offering, VGEM sold 3,399,929 shares in the Secondary Offering, VLFM sold 1,260,106 shares in the Secondary Offering and Opportunities Fund sold 183,478 shares in the Secondary Offering. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 473,043 shares of Common Stock; (ii) VGEM, which directly holds 23,179,034 shares of Common Stock; (iii) VLFM, which directly holds 8,590,772 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,250,859 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM.Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 16:53 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | SaleCommon Stock | 4,912,899 | $24.98 | $122,706,039.29 |
DisclosureSEC source: 0000903423-20-000011 · vgpadaptive4.xml · nonDerivative · entry 1 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities II LP · CIK 0001413378 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 33,493,708 F1 · shares: On January 28, 2020, the Viking Funds (defined below) sold an aggregate of 4,912,899 shares of common stock of the Issuer ("Common Stock") at a price of $24.9763 per share in connection with the Issuer's secondary offering (the "Secondary Offering"). VGE II sold 69,386 shares in the Secondary Offering, VGEM sold 3,399,929 shares in the Secondary Offering, VLFM sold 1,260,106 shares in the Secondary Offering and Opportunities Fund sold 183,478 shares in the Secondary Offering. F2 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F3 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F4 · ownership.nature: VGI provides managerial services to (i) VGE II, which directly holds 473,043 shares of Common Stock; (ii) VGEM, which directly holds 23,179,034 shares of Common Stock; (iii) VLFM, which directly holds 8,590,772 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,250,859 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F5 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F6 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F7 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F8 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries F-1 Preferred Stock · Derivative | 290,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · derivative · entry 9 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 290,572 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries F Preferred Stock · Derivative | 2,007,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · derivative · entry 8 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 2,007,740 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries E Preferred Stock · Derivative | 15,524,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · derivative · entry 7 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 15,524,350 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries D Preferred Stock · Derivative | 18,908,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · derivative · entry 6 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 18,908,945 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 290,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · nonDerivative · entry 5 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 38,406,607 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 2,007,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · nonDerivative · entry 4 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 38,116,035 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 15,524,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · nonDerivative · entry 3 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 36,108,295 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 18,908,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · nonDerivative · entry 2 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 20,583,945 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:11 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | PurchaseCommon Stock | 250,000 | $20.00 | $5,000,000.00 |
DisclosureSEC source: 0000903423-19-000272 · adaptive.xml · nonDerivative · entry 1 VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 1,675,000 F1 · shares: On July 1, 2019, the Viking Funds (defined below) acquired an aggregate of 250,000 shares of common stock of the Issuer ("Common Stock") at a price of $20 per share in connection with the Issuer's initial public offering ("IPO"). VGEM acquired 173,010 shares in the IPO, VGE II acquired 3,531 shares in the IPO, VLFM acquired 64,122 shares in the IPO and Opportunities Fund acquired 9,337 shares in the IPO. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries F-1 Preferred Stock · Derivative | 290,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 9 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 290,572 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries F Preferred Stock · Derivative | 2,007,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 8 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 2,007,740 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries E Preferred Stock · Derivative | 15,524,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 7 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 15,524,350 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionSeries D Preferred Stock · Derivative | 18,908,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · derivative · entry 6 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 18,908,945 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: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.exercise_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F2 · derivative.expiration_date: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 290,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 5 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 38,406,607 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 2,007,740 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 4 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 38,116,035 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 15,524,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 3 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 36,108,295 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:13 UTC | Adaptive Biotechnologies Corp ADPT · Entity 1126 | ConversionCommon Stock | 18,908,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000903423-19-000273 · vgpadaptive4.xml · nonDerivative · entry 2 VIKING GLOBAL PERFORMANCE LLC · CIK 0001132625 · 10% owner Viking Global Equities Master Ltd. · CIK 0001759530 · 10% owner Viking Long Fund GP LLC · CIK 0001621607 · 10% owner Viking Long Fund Master Ltd. · CIK 0001621596 · 10% owner HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner Ott David C. · CIK 0001621842 · 10% owner Shabet Rose Sharon · CIK 0001711393 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 20,583,945 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On July 1, 2019 in connection with the closing of the IPO, the shares of Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series F-1 Preferred Stock held by the Reporting Persons (defined below) automatically converted into shares of Common Stock on a one-to-one basis. F3 · ownership.nature: O. Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI"), Viking Global Performance LLC ("VGP"), Viking Long Fund GP LLC ("VLFGP") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Equities II LP ("VGE II"), Viking Global Equities Master Ltd. ("VGEM"), Viking Long Fund Master Ltd. ("VLFM") and Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund," and together with VLFM, VGEM and VGE II, the "Viking Funds"). F4 · ownership.nature: VGP is the general partner of VGE II. Opportunities Portfolio GP is the general partner of Opportunities Fund. VLFGP serves as the investment manager of VLFM. Each of the Viking Funds, VGI, VGP, VLFGP, Opportunities Portfolio GP, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively, the "Reporting Persons") may be deemed to beneficially own the shares reported on this form. F5 · ownership.nature: VGI provides managerial services to (i) VGEM, which directly holds 26,578,963 shares of Common Stock; (ii) VGE II, which directly holds 542,429 shares of Common Stock; (iii) VLFM, which directly holds 9,850,878 shares of Common Stock; and (iv) Opportunities Fund, which directly holds 1,434,337 shares of Common Stock. Because of the relationship between VGI and the Viking Funds, VGI may be deemed to beneficially own the shares of Common Stock directly held by the Viking Funds. F6 · ownership.nature: VGP is the general partner of VGE II and the investment manager of VGEM. Because of the relationships between VGP and VGE II and VGEM, respectively, VGP may be deemed to beneficially own the shares of Common Stock directly held by VGE II and VGEM. F7 · ownership.nature: VLFGP serves as the investment manager of VLFM. Because of the relationship between VLFGP and VLFM, VLFGP may be deemed to beneficially own the shares of Common Stock directly held by VLFM. F8 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. F9 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. 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.