organization · Reporting owner
NB ALTERNATIVES ADVISERS LLC
Disclosed activity across 28 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIORA THERAPEUTICS, INC.PROG · Entity 85047 | 10% owner | June 14, 2021 | June 14, 2021 |
| EXCELSIOR VENTURE PARTNERS III LLCN/A · Entity 13521 | Investment Sub-Adviser | August 14, 2015 | June 12, 2018 |
| N-able, Inc.NABL · Entity 5203 | 10% owner | July 19, 2021 | July 28, 2021 |
| NB Crossroads Private Markets Fund IV (TE) - Client LLCN/A · Entity 87738 | Investment Sub-Adviser | December 18, 2015 | June 12, 2018 |
| NB Crossroads Private Markets Fund IV (TI) - Client LLCN/A · Entity 87740 | Investment Sub-Adviser | December 18, 2015 | June 12, 2018 |
| NB Crossroads Private Markets Fund IV Holdings LLCN/A · Entity 87739 | Investment Sub-Adviser | December 18, 2015 | June 12, 2018 |
| NB Crossroads Private Markets Fund V (TE) Advisory LPN/A · Entity 87714 | Investment Sub-Adviser | August 22, 2017 | June 12, 2018 |
| NB Crossroads Private Markets Fund V (TE) LPN/A · Entity 87717 | Investment Sub-Adviser | April 07, 2017 | June 12, 2018 |
| NB Crossroads Private Markets Fund V (TI) Advisory LPN/A · Entity 87713 | Investment Sub-Adviser | August 22, 2017 | June 12, 2018 |
| NB Crossroads Private Markets Fund V (TI) LPN/A · Entity 87715 | Investment Sub-Adviser | April 07, 2017 | June 12, 2018 |
| NB Crossroads Private Markets Fund V Holdings LPN/A · Entity 87716 | Investment Sub-Adviser | April 07, 2017 | June 12, 2018 |
| NB Crossroads Private Markets Fund VI Advisory LPN/A · Entity 87711 | Investment Sub-Adviser | February 14, 2020 | February 19, 2020 |
| NB Crossroads Private Markets Fund VI Custody LPN/A · Entity 151559 | Investment Sub-Adviser | February 14, 2020 | February 19, 2020 |
| NB Crossroads Private Markets Fund VI Holdings LPN/A · Entity 87710 | Investment Sub-Adviser | February 14, 2020 | February 19, 2020 |
| NB Crossroads Private Markets Fund VI LPN/A · Entity 87712 | Investment Sub-Adviser | February 14, 2020 | February 19, 2020 |
| NB Crossroads Private Markets Fund VII Holdings LPNONE · Entity 87746 | Investment Sub-Adviser | February 14, 2022 | March 11, 2022 |
| NB Crossroads Private Markets Fund VII LPNONE · Entity 87745 | Investment Sub-Adviser | February 14, 2022 | March 11, 2022 |
| NB Private Markets Access Fund LLCNONE · Entity 87744 | Investment Sub-Adviser | December 15, 2020 | December 15, 2020 |
| NB Private Markets Fund II (Master) LLCN/A · Entity 13112 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| NB Private Markets Fund II (TE) LLCN/A · Entity 13114 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| NB Private Markets Fund II (TI) LLCN/A · Entity 13113 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| NB Private Markets Fund III (Master) LLCN/A · Entity 87727 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| NB Private Markets Fund III (TE) LLCN/A · Entity 87726 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| NB Private Markets Fund III (TI) LLCN/A · Entity 87728 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
| Neuberger Asset-Based Credit FundNONE · Entity 24692 | Investment Sub-Adviser | August 19, 2025 | August 19, 2025 |
| SolarWinds CorpSWI · Entity 80691 | 10% owner | December 10, 2020 | December 14, 2020 |
| UST Global Private Markets Fund, LLCN/A · Entity 13484 | Investment Sub-Adviser | August 06, 2015 | June 12, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BIORA THERAPEUTICS, INC.
Report date June 14, 2021 · Filed June 14, 2021
Jointly reported with Athyrium Capital Management, LP, Ferrell Jeffrey, Athyrium Capital Holdings, LLC, Athyrium Funds GP Holdings LLC, NB Alternatives Holdings LLC, Athyrium Opportunities Advisers LLC, Athyrium Opportunities III Acquisition LP, NB Alternatives GP Holdings LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 36,396,907 |
Reported balance
After 2021-06-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-06-14 · Purchase · Acquired 8,097,166 · Balance 36,396,907 F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2026-06-14 | IndirectSee footnotes | 8,097,166 |
Reported balance
After 2021-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-14 · Purchase · Acquired 8,097,166 · Balance 8,097,166 F4: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.
F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.
F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
F4: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026.
EXCELSIOR VENTURE PARTNERS III LLC
Report date August 14, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
N-able, Inc.
Report date July 19, 2021 · Filed July 28, 2021
Jointly reported with NB Crossroads XX - MC Holdings LP, NB Crossroads XXI - MC Holdings LP, NB - Iowa's Public Universities LP, NB PEP Holdings Ltd, NB RP Co-Investment & Secondary Fund LLC, NB Sonoran Fund Limited Partnership, NB Wildcats Fund LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,479,735 |
Reported balance
Holding disclosure · report date 2021-07-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,479,735 F1: This Form 3 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same holdings. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of N-able, Inc. (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F3: Consists of (i) 198,379 shares held directly by NB Crossroads XX LP, (ii) 74,392 shares held directly by NB Crossroads XXI LP, (iii) 49,595 shares held directly by NB IPU LP, (iv) 173,581 shares held directly by NB PEP, (v) 49,595 shares held directly by NB RP Co-Investment, (vi) 49,595 shares held directly by NB Sonoran LP, (vii) 1,487,841 shares held directly by NB Co-Investment II Holdings, (viii) 49,595 shares held directly by NB Wildcats LP, (ix) 99,189 shares held directly by NB SALI Series and (x) 247,973 shares held directly by TfL Trustee. F4: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons").
F2: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same holdings. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of N-able, Inc. (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities.
F3: Consists of (i) 198,379 shares held directly by NB Crossroads XX LP, (ii) 74,392 shares held directly by NB Crossroads XXI LP, (iii) 49,595 shares held directly by NB IPU LP, (iv) 173,581 shares held directly by NB PEP, (v) 49,595 shares held directly by NB RP Co-Investment, (vi) 49,595 shares held directly by NB Sonoran LP, (vii) 1,487,841 shares held directly by NB Co-Investment II Holdings, (viii) 49,595 shares held directly by NB Wildcats LP, (ix) 99,189 shares held directly by NB SALI Series and (x) 247,973 shares held directly by TfL Trustee.
F4: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee.
NB Crossroads Private Markets Fund IV (TE) - Client LLC
Report date December 18, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund IV (TI) - Client LLC
Report date December 18, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund IV Holdings LLC
Report date December 18, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund V (TE) Advisory LP
Report date August 22, 2017 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund V (TE) LP
Report date April 07, 2017 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund V (TI) Advisory LP
Report date August 22, 2017 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund V (TI) LP
Report date April 07, 2017 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund V Holdings LP
Report date April 07, 2017 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VI Advisory LP
Report date February 14, 2020 · Filed February 19, 2020
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VI Custody LP
Report date February 14, 2020 · Filed February 19, 2020
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VI Holdings LP
Report date February 14, 2020 · Filed February 19, 2020
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VI LP
Report date February 14, 2020 · Filed February 19, 2020
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VII Holdings LP
Report date February 14, 2022 · Filed March 11, 2022
This filing explicitly reported no securities owned.
NB Crossroads Private Markets Fund VII LP
Report date February 14, 2022 · Filed March 11, 2022
This filing explicitly reported no securities owned.
NB Private Markets Access Fund LLC
Report date December 15, 2020 · Filed December 15, 2020
This filing explicitly reported no securities owned.
NB Private Markets Fund II (Master) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Private Markets Fund II (TE) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Private Markets Fund II (TI) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Private Markets Fund III (Master) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Private Markets Fund III (TE) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
NB Private Markets Fund III (TI) LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
Neuberger Asset-Based Credit Fund
Report date August 19, 2025 · Filed August 19, 2025
This filing explicitly reported no securities owned.
SolarWinds Corp
Report date December 10, 2020 · Filed December 14, 2020
Jointly reported with NB Crossroads XX - MC Holdings LP, NB Crossroads XXI - MC Holdings LP, NB - Iowa's Public Universities LP, NB PEP Holdings Ltd, NB RP Co-Investment & Secondary Fund LLC, NB Sonoran Fund Limited Partnership, NB Wildcats Fund LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,959,467 |
Reported balance
After 2020-12-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-10 · Sale · Disposed 289,066 · Balance 4,959,467 F1: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F3: On December 10, 2020, the Reporting Persons executed a joinder to a Stock Purchase Agreement to sell shares of common stock at a price of $21.97 per share, subject to potential adjustment under certain circumstances. F4: Consists of (i) 23,125 shares sold by NB Crossroads XX LP, (ii) 8,672 shares sold by NB Crossroads XXI LP, (iii) 5,781 shares sold by NB IPU LP, (iv) 20,235 shares sold by NB PEP, (v) 5,781 shares sold by NB RP Co-Investment, (vi) 5,781 shares sold by NB Sonoran LP, (vii) 173,440 shares sold by NB Co-Investment II Holdings, (viii) 5,781 shares sold by NB Wildcats LP, (ix) 11,563 shares sold by NB SALI Series and (x) 28,907 shares sold by TfL Trustee. F5: Consists of (i) 396,757 shares held directly by NB Crossroads XX LP, (ii) 148,783 shares held directly by NB Crossroads XXI LP, (iii) 99,190 shares held directly by NB IPU LP, (iv) 347,162 shares held directly by NB PEP, (v) 99,190 shares held directly by NB RP Co-Investment, (vi) 99,190 shares held directly by NB Sonoran LP, (vii) 2,975,681 shares held directly by NB Co-Investment II Holdings, (viii) 99,190 shares held directly by NB Wildcats LP, (ix) 198,378 shares held directly by NB SALI Series and (x) 495,946 shares held directly by TfL Trustee. F6: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons").
F2: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities.
F3: On December 10, 2020, the Reporting Persons executed a joinder to a Stock Purchase Agreement to sell shares of common stock at a price of $21.97 per share, subject to potential adjustment under certain circumstances.
F4: Consists of (i) 23,125 shares sold by NB Crossroads XX LP, (ii) 8,672 shares sold by NB Crossroads XXI LP, (iii) 5,781 shares sold by NB IPU LP, (iv) 20,235 shares sold by NB PEP, (v) 5,781 shares sold by NB RP Co-Investment, (vi) 5,781 shares sold by NB Sonoran LP, (vii) 173,440 shares sold by NB Co-Investment II Holdings, (viii) 5,781 shares sold by NB Wildcats LP, (ix) 11,563 shares sold by NB SALI Series and (x) 28,907 shares sold by TfL Trustee.
F5: Consists of (i) 396,757 shares held directly by NB Crossroads XX LP, (ii) 148,783 shares held directly by NB Crossroads XXI LP, (iii) 99,190 shares held directly by NB IPU LP, (iv) 347,162 shares held directly by NB PEP, (v) 99,190 shares held directly by NB RP Co-Investment, (vi) 99,190 shares held directly by NB Sonoran LP, (vii) 2,975,681 shares held directly by NB Co-Investment II Holdings, (viii) 99,190 shares held directly by NB Wildcats LP, (ix) 198,378 shares held directly by NB SALI Series and (x) 495,946 shares held directly by TfL Trustee.
F6: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee.
UST Global Private Markets Fund, LLC
Report date August 06, 2015 · Filed June 12, 2018
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Solo Brands, Inc.
Report date May 16, 2023 · Filed May 19, 2023
Jointly reported with NB Crossroads Private Markets Fund V Holdings LP, NB Crossroads XXII - MC Holdings LP, NB Gemini Fund LP, NB Select Opps II MHF LP
Section 16 reporting ended · disclosed 2023-05-19. 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 footnote | 2,700,975 |
Reported balance
After 2023-05-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-05-16 · Sale · Disposed 4,181,906 · Balance 2,700,975 F1: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads Private Markets Fund V Holdings LP ("NB Private Markets V"), NB Crossroads XXII - MC Holdings LP ("NB Crossroads XXII"), NB Gemini Fund LP ("NB Gemini"), and NB Select Opps II MHF LP ("NB Select Opps II") (collectively, the "Reporting Persons"). F2: The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities. F3: The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to Solo Brands, Inc. (the "Issuer") or securities of the Issuer. F4: On May 16, 2023, pursuant to an underwriting agreement (the "Underwriting Agreement"), which is attached as Exhibit 1.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on May 12, 2023, entered into by the Issuer in connection with a registered secondary offering and sale of shares of Class A common stock of the Issuer, $0.001 par value per share ("Shares") by NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II (collectively, the "NB Parties") and certain other selling stockholders listed on Schedule B to the Underwriting Agreement, the underwriters purchased from the NB Parties at a purchase price of $5.25 per share, less the underwriters' discount of $0.25 per share, F5: (Continued from footnote 4) (the "Offering Price"), (i) 209,087 Shares, that were held directly by NB Private Markets V, (ii) 543,653 Shares that were held directly by NB Crossroads XXII, (iii) 1,610,040 Shares that were held directly by NB Gemini, and (iv) 1,819,126 Shares that were held directly by NB Select Opps II. F6: Consists of (i) 135,043 Shares, held directly by NB Private Markets V, (ii) 351,130 Shares held directly by NB Crossroads XXII, (iii) 1,039,879 Shares held directly by NB Gemini, and (iv) 1,174,923 Shares held directly by NB Select Opps II. F7: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 627,286 |
Reported balance
After 2023-05-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-05-16 · Sale · Disposed 2,073,689 · Balance 627,286 F1: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads Private Markets Fund V Holdings LP ("NB Private Markets V"), NB Crossroads XXII - MC Holdings LP ("NB Crossroads XXII"), NB Gemini Fund LP ("NB Gemini"), and NB Select Opps II MHF LP ("NB Select Opps II") (collectively, the "Reporting Persons"). F2: The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities. F3: The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to Solo Brands, Inc. (the "Issuer") or securities of the Issuer. F8: In addition, on May 16, 2023, pursuant to a privately negotiated Stock Purchase Agreement (the "Purchase Agreement"), which is attached as Exhibit 10.1 to the Issuer's Form 8-K filed with the SEC on May 12, 2023, by and between the Issuer, the NB Parties and certain other selling stockholders, the Issuer repurchased from the NB Parties at a purchase price of equal to the Offering Price, (i) 103,680 Shares that were held directly by NB Private Markets V, (ii) 269,582 Shares that were held directly by NB Crossroads XXII, (iii) 798,373 Shares that were held directly by NB Gemini, and (iv) 902,054 Shares that were held directly by NB Select Opps II. F9: Consists of (i) 31,363 Shares, held directly by NB Private Markets V, (ii) 81,548 Shares held directly by NB Crossroads XXII, (iii) 241,506 Shares held directly by NB Gemini, and (iv) 272,869 Shares held directly by NB Select Opps II. As a result of the transactions by the NB Parties pursuant to the Purchase Agreement and the Underwriting Agreement, the Reporting Persons will no longer be reporting persons. F7: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads Private Markets Fund V Holdings LP ("NB Private Markets V"), NB Crossroads XXII - MC Holdings LP ("NB Crossroads XXII"), NB Gemini Fund LP ("NB Gemini"), and NB Select Opps II MHF LP ("NB Select Opps II") (collectively, the "Reporting Persons").
F2: The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities.
F3: The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to Solo Brands, Inc. (the "Issuer") or securities of the Issuer.
F4: On May 16, 2023, pursuant to an underwriting agreement (the "Underwriting Agreement"), which is attached as Exhibit 1.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on May 12, 2023, entered into by the Issuer in connection with a registered secondary offering and sale of shares of Class A common stock of the Issuer, $0.001 par value per share ("Shares") by NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II (collectively, the "NB Parties") and certain other selling stockholders listed on Schedule B to the Underwriting Agreement, the underwriters purchased from the NB Parties at a purchase price of $5.25 per share, less the underwriters' discount of $0.25 per share,
F5: (Continued from footnote 4) (the "Offering Price"), (i) 209,087 Shares, that were held directly by NB Private Markets V, (ii) 543,653 Shares that were held directly by NB Crossroads XXII, (iii) 1,610,040 Shares that were held directly by NB Gemini, and (iv) 1,819,126 Shares that were held directly by NB Select Opps II.
F6: Consists of (i) 135,043 Shares, held directly by NB Private Markets V, (ii) 351,130 Shares held directly by NB Crossroads XXII, (iii) 1,039,879 Shares held directly by NB Gemini, and (iv) 1,174,923 Shares held directly by NB Select Opps II.
F7: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II.
F8: In addition, on May 16, 2023, pursuant to a privately negotiated Stock Purchase Agreement (the "Purchase Agreement"), which is attached as Exhibit 10.1 to the Issuer's Form 8-K filed with the SEC on May 12, 2023, by and between the Issuer, the NB Parties and certain other selling stockholders, the Issuer repurchased from the NB Parties at a purchase price of equal to the Offering Price, (i) 103,680 Shares that were held directly by NB Private Markets V, (ii) 269,582 Shares that were held directly by NB Crossroads XXII, (iii) 798,373 Shares that were held directly by NB Gemini, and (iv) 902,054 Shares that were held directly by NB Select Opps II.
F9: Consists of (i) 31,363 Shares, held directly by NB Private Markets V, (ii) 81,548 Shares held directly by NB Crossroads XXII, (iii) 241,506 Shares held directly by NB Gemini, and (iv) 272,869 Shares held directly by NB Select Opps II. As a result of the transactions by the NB Parties pursuant to the Purchase Agreement and the Underwriting Agreement, the Reporting Persons will no longer be reporting persons.
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 |
|---|---|---|---|---|---|---|
| May 16, 2023 Filed May 19, 2023 00:10 UTC | Solo Brands, Inc. DTC · Entity 8034 | SaleClass A Common Stock | 2,073,689 | $5.00 | $10,368,445.00 |
DisclosureSEC source: 0000950170-23-023136 · ownership.xml · nonDerivative · entry 2 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads Private Markets Fund V Holdings LP · CIK 0001702885 · 10% owner NB Crossroads XXII - MC Holdings LP · CIK 0001824070 · 10% owner NB Gemini Fund LP · CIK 0001824077 · 10% owner NB Select Opps II MHF LP · CIK 0001891175 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 627,286 F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads Private Markets Fund V Holdings LP ("NB Private Markets V"), NB Crossroads XXII - MC Holdings LP ("NB Crossroads XXII"), NB Gemini Fund LP ("NB Gemini"), and NB Select Opps II MHF LP ("NB Select Opps II") (collectively, the "Reporting Persons"). F2 · security: The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities. F3 · security: The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to Solo Brands, Inc. (the "Issuer") or securities of the Issuer. F8 · shares: In addition, on May 16, 2023, pursuant to a privately negotiated Stock Purchase Agreement (the "Purchase Agreement"), which is attached as Exhibit 10.1 to the Issuer's Form 8-K filed with the SEC on May 12, 2023, by and between the Issuer, the NB Parties and certain other selling stockholders, the Issuer repurchased from the NB Parties at a purchase price of equal to the Offering Price, (i) 103,680 Shares that were held directly by NB Private Markets V, (ii) 269,582 Shares that were held directly by NB Crossroads XXII, (iii) 798,373 Shares that were held directly by NB Gemini, and (iv) 902,054 Shares that were held directly by NB Select Opps II. F8 · price: In addition, on May 16, 2023, pursuant to a privately negotiated Stock Purchase Agreement (the "Purchase Agreement"), which is attached as Exhibit 10.1 to the Issuer's Form 8-K filed with the SEC on May 12, 2023, by and between the Issuer, the NB Parties and certain other selling stockholders, the Issuer repurchased from the NB Parties at a purchase price of equal to the Offering Price, (i) 103,680 Shares that were held directly by NB Private Markets V, (ii) 269,582 Shares that were held directly by NB Crossroads XXII, (iii) 798,373 Shares that were held directly by NB Gemini, and (iv) 902,054 Shares that were held directly by NB Select Opps II. F9 · balance_after: Consists of (i) 31,363 Shares, held directly by NB Private Markets V, (ii) 81,548 Shares held directly by NB Crossroads XXII, (iii) 241,506 Shares held directly by NB Gemini, and (iv) 272,869 Shares held directly by NB Select Opps II. As a result of the transactions by the NB Parties pursuant to the Purchase Agreement and the Underwriting Agreement, the Reporting Persons will no longer be reporting persons. F7 · ownership.direct: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. F9 · ownership.direct: Consists of (i) 31,363 Shares, held directly by NB Private Markets V, (ii) 81,548 Shares held directly by NB Crossroads XXII, (iii) 241,506 Shares held directly by NB Gemini, and (iv) 272,869 Shares held directly by NB Select Opps II. As a result of the transactions by the NB Parties pursuant to the Purchase Agreement and the Underwriting Agreement, the Reporting Persons will no longer be reporting persons. F7 · ownership.nature: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. F9 · ownership.nature: Consists of (i) 31,363 Shares, held directly by NB Private Markets V, (ii) 81,548 Shares held directly by NB Crossroads XXII, (iii) 241,506 Shares held directly by NB Gemini, and (iv) 272,869 Shares held directly by NB Select Opps II. As a result of the transactions by the NB Parties pursuant to the Purchase Agreement and the Underwriting Agreement, the Reporting Persons will no longer be reporting persons. Read SEC document |
| May 16, 2023 Filed May 19, 2023 00:10 UTC | Solo Brands, Inc. DTC · Entity 8034 | SaleClass A Common Stock | 4,181,906 | $5.00 | $20,909,530.00 |
DisclosureSEC source: 0000950170-23-023136 · ownership.xml · nonDerivative · entry 1 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads Private Markets Fund V Holdings LP · CIK 0001702885 · 10% owner NB Crossroads XXII - MC Holdings LP · CIK 0001824070 · 10% owner NB Gemini Fund LP · CIK 0001824077 · 10% owner NB Select Opps II MHF LP · CIK 0001891175 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,700,975 F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads Private Markets Fund V Holdings LP ("NB Private Markets V"), NB Crossroads XXII - MC Holdings LP ("NB Crossroads XXII"), NB Gemini Fund LP ("NB Gemini"), and NB Select Opps II MHF LP ("NB Select Opps II") (collectively, the "Reporting Persons"). F2 · security: The Reporting Persons state that neither the filing of this statement nor anything herein shall be deemed an admission that such persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owners of any securities covered by this statement. The Reporting Persons disclaim beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such persons in such securities. F3 · security: The Reporting Persons declare that neither the filing of this statement nor anything herein shall be construed as an admission that such persons are, for the purposes of Section 13(d) or 13(g) of the Exchange Act or any other purpose, a member of a group with respect to Solo Brands, Inc. (the "Issuer") or securities of the Issuer. F4 · shares: On May 16, 2023, pursuant to an underwriting agreement (the "Underwriting Agreement"), which is attached as Exhibit 1.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on May 12, 2023, entered into by the Issuer in connection with a registered secondary offering and sale of shares of Class A common stock of the Issuer, $0.001 par value per share ("Shares") by NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II (collectively, the "NB Parties") and certain other selling stockholders listed on Schedule B to the Underwriting Agreement, the underwriters purchased from the NB Parties at a purchase price of $5.25 per share, less the underwriters' discount of $0.25 per share, F5 · shares: (Continued from footnote 4) (the "Offering Price"), (i) 209,087 Shares, that were held directly by NB Private Markets V, (ii) 543,653 Shares that were held directly by NB Crossroads XXII, (iii) 1,610,040 Shares that were held directly by NB Gemini, and (iv) 1,819,126 Shares that were held directly by NB Select Opps II. F4 · price: On May 16, 2023, pursuant to an underwriting agreement (the "Underwriting Agreement"), which is attached as Exhibit 1.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on May 12, 2023, entered into by the Issuer in connection with a registered secondary offering and sale of shares of Class A common stock of the Issuer, $0.001 par value per share ("Shares") by NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II (collectively, the "NB Parties") and certain other selling stockholders listed on Schedule B to the Underwriting Agreement, the underwriters purchased from the NB Parties at a purchase price of $5.25 per share, less the underwriters' discount of $0.25 per share, F5 · price: (Continued from footnote 4) (the "Offering Price"), (i) 209,087 Shares, that were held directly by NB Private Markets V, (ii) 543,653 Shares that were held directly by NB Crossroads XXII, (iii) 1,610,040 Shares that were held directly by NB Gemini, and (iv) 1,819,126 Shares that were held directly by NB Select Opps II. F6 · balance_after: Consists of (i) 135,043 Shares, held directly by NB Private Markets V, (ii) 351,130 Shares held directly by NB Crossroads XXII, (iii) 1,039,879 Shares held directly by NB Gemini, and (iv) 1,174,923 Shares held directly by NB Select Opps II. F6 · ownership.direct: Consists of (i) 135,043 Shares, held directly by NB Private Markets V, (ii) 351,130 Shares held directly by NB Crossroads XXII, (iii) 1,039,879 Shares held directly by NB Gemini, and (iv) 1,174,923 Shares held directly by NB Select Opps II. F7 · ownership.direct: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. F6 · ownership.nature: Consists of (i) 135,043 Shares, held directly by NB Private Markets V, (ii) 351,130 Shares held directly by NB Crossroads XXII, (iii) 1,039,879 Shares held directly by NB Gemini, and (iv) 1,174,923 Shares held directly by NB Select Opps II. F7 · ownership.nature: NBAA exercises dispositive and voting power with respect to the Shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the Shares held directly by each of NB Private Markets V, NB Crossroads XXII, NB Gemini, and NB Select Opps II. Read SEC document |
| June 14, 2021 Filed Jun 14, 2021 17:17 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseWarrant · Derivative | 8,097,166 | $2.47 Strike: $2.84 | $20,000,000.02 |
DisclosureSEC source: 0000899243-21-023629 · doc4.xml · derivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,097,166 Underlying: Common Stock · 8,097,166 shares Expires 2026-06-14 F4 · security: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F4 · derivative.underlying: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F4 · balance_after: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 14, 2021 Filed Jun 14, 2021 17:17 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 8,097,166 | $2.47 | $20,000,000.02 |
DisclosureSEC source: 0000899243-21-023629 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 36,396,907 F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:41 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 961,807 | $2.86 | $2,750,768.02 |
DisclosureSEC source: 0000899243-21-021805 · doc4.xml · nonDerivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 28,299,741 F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: The 961,807 shares of the Issuer's common stock are held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:41 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 306,308 | $2.86 | $876,040.88 |
DisclosureSEC source: 0000899243-21-021805 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 28,299,741 F1 · ownership.nature: The 306,308 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:15 UTC | SolarWinds Corp SWI · Entity 80691 | SaleCommon Stock | 289,066 | $21.97 | $6,350,780.02 |
DisclosureSEC source: 0000899243-20-033733 · doc4.xml · nonDerivative · entry 1 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads XX - MC Holdings LP · CIK 0001755836 · 10% owner NB Crossroads XXI - MC Holdings LP · CIK 0001698419 · 10% owner NB - Iowa's Public Universities LP · CIK 0001698425 · 10% owner NB PEP Holdings Ltd · CIK 0001698427 · 10% owner NB RP Co-Investment & Secondary Fund LLC · CIK 0001698444 · 10% owner NB Sonoran Fund Limited Partnership · CIK 0001698437 · 10% owner NB Wildcats Fund LP · CIK 0001698432 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,959,467 F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2 · security: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F3 · shares: On December 10, 2020, the Reporting Persons executed a joinder to a Stock Purchase Agreement to sell shares of common stock at a price of $21.97 per share, subject to potential adjustment under certain circumstances. F4 · shares: Consists of (i) 23,125 shares sold by NB Crossroads XX LP, (ii) 8,672 shares sold by NB Crossroads XXI LP, (iii) 5,781 shares sold by NB IPU LP, (iv) 20,235 shares sold by NB PEP, (v) 5,781 shares sold by NB RP Co-Investment, (vi) 5,781 shares sold by NB Sonoran LP, (vii) 173,440 shares sold by NB Co-Investment II Holdings, (viii) 5,781 shares sold by NB Wildcats LP, (ix) 11,563 shares sold by NB SALI Series and (x) 28,907 shares sold by TfL Trustee. F3 · price: On December 10, 2020, the Reporting Persons executed a joinder to a Stock Purchase Agreement to sell shares of common stock at a price of $21.97 per share, subject to potential adjustment under certain circumstances. F5 · balance_after: Consists of (i) 396,757 shares held directly by NB Crossroads XX LP, (ii) 148,783 shares held directly by NB Crossroads XXI LP, (iii) 99,190 shares held directly by NB IPU LP, (iv) 347,162 shares held directly by NB PEP, (v) 99,190 shares held directly by NB RP Co-Investment, (vi) 99,190 shares held directly by NB Sonoran LP, (vii) 2,975,681 shares held directly by NB Co-Investment II Holdings, (viii) 99,190 shares held directly by NB Wildcats LP, (ix) 198,378 shares held directly by NB SALI Series and (x) 495,946 shares held directly by TfL Trustee. F6 · ownership.direct: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. F6 · ownership.nature: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Purchase7.25% Convertible Senior Notes due 2025 · Derivative | 78,500,000 | $78,500,000.00 | $6,162,250,000,000,000.00 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · derivative · entry 3 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 78,500,000 Underlying: Common Stock · 21,823,737 shares Expires 2025-12-01 F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share. F5 · price: Athyrium Opportunities III Co-Invest 1 LP acquired such Convertible Notes in exchange for the discharge of amounts outstanding under the Issuer's credit and security agreement. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F6 · ownership.nature: The $78,500,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Purchase7.25% Convertible Senior Notes due 2025 · Derivative | 25,000,000 | $25,000,000.00 | $625,000,000,000,000.00 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · derivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 25,000,000 Underlying: Common Stock · 6,950,235 shares Expires 2025-12-01 F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F4 · ownership.nature: The $25,000,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 4,128,440 | $3.27 | $13,499,998.80 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 26,991,626 F1 · ownership.nature: The 4,128,440 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionSeries B Preferred Stock · Derivative | 101,736,263 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · derivative · entry 5 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 18,319,853 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · shares: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · derivative.exercise_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · derivative.expiration_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC. F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionUnsecured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed | $15,000,000.00 |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · derivative · entry 4 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: Not disclosed Underlying: Common Stock · 1,250,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · reported_value: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · derivative.exercise_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · derivative.expiration_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionCommon Stock | 18,319,853 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 3 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 23,303,346 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC. F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionCommon Stock | 1,250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 23,303,346 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 3,333,333 | $15.00 | $49,999,995.00 |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 23,303,346 F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 30, 2019 21:00 UTC | SolarWinds Corp SWI · Entity 80691 | SaleCommon Stock | 302,419 | $17.42 | $5,266,626.89 |
DisclosureSEC source: 0000899243-19-015187 · doc4.xml · nonDerivative · entry 1 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads XX - MC Holdings LP · CIK 0001755836 · 10% owner NB Crossroads XXI - MC Holdings LP · CIK 0001698419 · 10% owner NB - Iowa's Public Universities LP · CIK 0001698425 · 10% owner NB PEP Holdings Ltd · CIK 0001698427 · 10% owner NB RP Co-Investment & Secondary Fund LLC · CIK 0001698444 · 10% owner NB Sonoran Fund Limited Partnership · CIK 0001698437 · 10% owner NB Wildcats Fund LP · CIK 0001698432 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,248,533 F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2 · security: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F3 · shares: Consists of (i) 24,194 shares sold by NB Crossroads XX LP, (ii) 9,073 shares sold by NB Crossroads XXI LP, (iii) 6,048 shares sold by NB IPU LP, (iv) 21,169 shares sold by NB PEP, (v) 6,048 shares sold by NB RP Co-Investment, (vi) 6,048 shares sold by NB Sonoran LP, (vii) 181,452 shares sold by NB Co-Investment II Holdings, (viii) 6,048 shares sold by NB Wildcats LP, (ix) 12,097 shares sold by NB SALI Series and (x) 30,242 shares sold by TfL Trustee. F4 · balance_after: Consists of (i) 419,882 shares held directly by NB Crossroads XX LP, (ii) 157,455 shares held directly by NB Crossroads XXI LP, (iii) 104,971 shares held directly by NB IPU LP, (iv) 367,397 shares held directly by NB PEP, (v) 104,971 shares held directly by NB RP Co-Investment, (vi) 104,971 shares held directly by NB Sonoran LP, (vii) 3,149,121 shares held directly by NB Co-Investment II Holdings, (viii) 104,971 shares held directly by NB Wildcats LP, (ix) 209,941 shares held directly by NB SALI Series and (x) 524,853 shares held directly by TfL Trustee. F5 · ownership.direct: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. F5 · ownership.nature: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 20:16 UTC | SolarWinds Corp SWI · Entity 80691 | ConversionClass A Common Stock · Derivative | 53,292 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-027350 · doc4.xml · derivative · entry 2 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads XX - MC Holdings LP · CIK 0001755836 · 10% owner NB Crossroads XXI - MC Holdings LP · CIK 0001698419 · 10% owner NB - Iowa's Public Universities LP · CIK 0001698425 · 10% owner NB PEP Holdings Ltd · CIK 0001698427 · 10% owner NB RP Co-Investment & Secondary Fund LLC · CIK 0001698444 · 10% owner NB Sonoran Fund Limited Partnership · CIK 0001698437 · 10% owner NB Wildcats Fund LP · CIK 0001698432 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,561,571 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2 · security: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F4 · derivative.exercise_price: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F4 · kind: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F8 · shares: Consists of (i) 4,263 shares held directly by NB Crossroads XX LP, (ii) 1,599 shares held directly by NB Crossroads XXI LP, (iii) 1,066 shares held directly by NB IPU LP, (iv) 3,730 shares held directly by NB PEP, (v) 1,066 shares held directly by NB RP Co-Investment, (vi) 1,066 shares held directly by NB Sonoran LP, (vii) 31,975 shares held directly by NB Co-Investment II Holdings, (viii) 1,066 shares held directly by NB Wildcats LP, (ix) 2,132 shares held directly by NB SALI Series and (x) 5,329 shares held directly by TfL Trustee. F4 · price: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F4 · derivative.exercise_date: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F4 · derivative.expiration_date: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F3 · derivative.underlying: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of the Issuer's Class A Common Stock into Class B Common Stock, each share of Class B Common Stock was reclassified into one share of Common Stock. F4 · derivative.underlying_shares: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F5 · derivative.underlying_shares: Consists of (i) 284,926 shares held directly by NB Crossroads XX LP, (ii) 106,847 shares held directly by NB Crossroads XXI LP, (iii) 71,231 shares held directly by NB IPU LP, (iv) 249,309 shares held directly by NB PEP, (v) 71,231 shares held directly by NB RP Co-Investment, (vi) 71,231 shares held directly by NB Sonoran LP, (vii) 2,136,945 shares held directly by NB Co-Investment II Holdings, (viii) 71,231 shares held directly by NB Wildcats LP, (ix) 142,463 shares held directly by NB SALI Series and (x) 356,157 shares held directly by TfL Trustee. F7 · ownership.nature: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 20:16 UTC | SolarWinds Corp SWI · Entity 80691 | ConversionCommon Stock | 3,561,571 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-027350 · doc4.xml · nonDerivative · entry 1 NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Crossroads XX - MC Holdings LP · CIK 0001755836 · 10% owner NB Crossroads XXI - MC Holdings LP · CIK 0001698419 · 10% owner NB - Iowa's Public Universities LP · CIK 0001698425 · 10% owner NB PEP Holdings Ltd · CIK 0001698427 · 10% owner NB RP Co-Investment & Secondary Fund LLC · CIK 0001698444 · 10% owner NB Sonoran Fund Limited Partnership · CIK 0001698437 · 10% owner NB Wildcats Fund LP · CIK 0001698432 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,550,952 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by NB Alternatives Advisers LLC ("NBAA"), NB Crossroads XX - MC Holdings LP ("NB Crossroads XX LP"), NB Crossroads XXI - MC Holdings LP ("NB Crossroads XXI LP"), NB - Iowa's Public Universities LP ("NB IPU LP"), NB PEP Holdings Limited ("NB PEP"), NB RP Co-Investment & Secondary Fund LLC ("NB RP Co-Investment"), NB Sonoran Fund Limited Partnership ("NB Sonoran LP"), NB Strategic Co-Investment Partners II Holdings LP ("NB Co-Investment II Holdings"), NB Wildcats Fund LP ("NB Wildcats LP"), Neuberger Berman Insurance Fund Series Interests of the SALI Multi-Series Fund, L.P. ("NB SALI Series") and TfL Trustee Company Limited as Trustee of the TfL Pension Fund ("TfL Trustee") (collectively, the "Reporting Persons"). F2 · security: To enable all of the Reporting Persons to gain access to the Securities and Exchange Commission's electronic filing system (which only accepts a maximum of 10 joint filers per report), this report is the first of two identical reports relating to the same transactions. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the outstanding shares of SolarWinds Corporation (the "Issuer"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. Neither the filing of this report nor anything herein shall be deemed an admission that any Reporting Person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, the beneficial owner of such securities. F3 · security: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of the Issuer's Class A Common Stock into Class B Common Stock, each share of Class B Common Stock was reclassified into one share of Common Stock. F4 · kind: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F5 · shares: Consists of (i) 284,926 shares held directly by NB Crossroads XX LP, (ii) 106,847 shares held directly by NB Crossroads XXI LP, (iii) 71,231 shares held directly by NB IPU LP, (iv) 249,309 shares held directly by NB PEP, (v) 71,231 shares held directly by NB RP Co-Investment, (vi) 71,231 shares held directly by NB Sonoran LP, (vii) 2,136,945 shares held directly by NB Co-Investment II Holdings, (viii) 71,231 shares held directly by NB Wildcats LP, (ix) 142,463 shares held directly by NB SALI Series and (x) 356,157 shares held directly by TfL Trustee. F4 · price: Immediately prior to the completion of the Issuer's initial public offering, each outstanding share of Class A Common Stock automatically converted into a number of shares of Class B Common Stock equal to the result of the liquidation value of such share of Class A Common Stock divided by $19.00. The liquidation value for each share of Class A Common Stock was equal to $1,000 plus accrued and unpaid dividends on such share of Class A Common Stock through October 18, 2018. In addition, the shares of the Issuer's Class A Common Stock were convertible, at the option of the holder, into shares of Class B Common Stock for a specified period of time ending on November 7, 2018. F6 · balance_after: Consists of (i) 444,076 shares held directly by NB Crossroads XX LP, (ii) 166,528 shares held directly by NB Crossroads XXI LP, (iii) 111,019 shares held directly by NB IPU LP, (iv) 388,566 shares held directly by NB PEP, (v) 111,019 shares held directly by NB RP Co-Investment, (vi) 111,019 shares held directly by NB Sonoran LP, (vii) 3,330,573 shares held directly by NB Co-Investment II Holdings, (viii) 111,019 shares held directly by NB Wildcats LP, (ix) 222,038 shares held directly by NB SALI Series and (x) 555,095 shares held directly by TfL Trustee. F7 · ownership.direct: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. F7 · ownership.nature: NBAA exercises dispositive and voting power with respect to the shares held by each of the other Reporting Persons and, as a result, may be deemed to beneficially own the shares held directly by NB Crossroads XX LP, NB Crossroads XXI LP, NB IPU LP, NB PEP, NB RP Co-Investment, NB Sonoran LP, NB Co-Investment II Holdings, NB Wildcats LP, NB SALI Series and TfL Trustee. 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.