organization · Reporting owner
ADAMS STREET PARTNERS LLC
Disclosed activity across 6 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aptinyx Inc.APTX · Entity 120922 | 10% owner | September 30, 2020 | October 02, 2020 |
| Corvus Pharmaceuticals, Inc.CRVS · Entity 4839 | 10% owner | August 11, 2022 | August 15, 2022 |
| Q2 Holdings, Inc.QTWO · Entity 4051 | 10% owner | May 24, 2017 | May 26, 2017 |
| Rimini Street, Inc.RMNI · Entity 5475 | 10% owner | June 03, 2025 | June 05, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aptinyx Inc.
Report date September 30, 2020 · Filed October 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.38 · Expires 2030-09-29 | IndirectSee Footnote | 4,623 |
Reported balance
After 2020-09-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-09-30 · Grant · Acquired 4,623 · Balance 4,623 F1: The option award was issued to Elisha P. ("Terry") Gould III, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant. F2: This option is fully vested at time of grant. F3: Elisha P. Gould III is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin Murray and Fred Wang, each of whom is a partner of Adams Street (or a subsidiary thereof) may be deemed to have shared voting and investment power over the options. Adams Street and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin Murray and Fred Wang disclaim beneficial ownership of the options except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The option award was issued to Elisha P. ("Terry") Gould III, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.
F2: This option is fully vested at time of grant.
F3: Elisha P. Gould III is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin Murray and Fred Wang, each of whom is a partner of Adams Street (or a subsidiary thereof) may be deemed to have shared voting and investment power over the options. Adams Street and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin Murray and Fred Wang disclaim beneficial ownership of the options except to the extent of their pecuniary interest therein.
Corvus Pharmaceuticals, Inc.
Report date August 11, 2022 · Filed August 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.97 · Expires 2032-08-11 | IndirectSee Footnote | 15,000 |
Reported balance
After 2022-08-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-08-11 · Grant · Acquired 15,000 · Balance 15,000 F3: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Elisha P. Gould's continued service relationship with the Issuer on each such vesting date. F4: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein. |
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | IndirectBy Funds | 3,275,616 |
Reported balance
Holding disclosure · report date 2022-08-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,275,616 F1: Represents 694,854 shares held by Adams Street 2011 Direct Fund LP ("AS 2011"), 715,361 shares held by Adams Street 2012 Direct Fund LP ("AS 2012"), 541,133 shares held by Adams Street 2013 Direct Fund LP ("AS 2013"), 736,033 shares held by Adams Street 2014 Direct Fund LP ("AS 2014"), 69,864 shares held by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"), 67,769 shares held by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"), 87,668 shares held by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"), 126,806 shares held by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018") and 236,128 shares held by Adams Street Venture/Growth VI LP ("ASVG VI"). F2: Adams Street Partners, LLC, as the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 694,854 shares held by Adams Street 2011 Direct Fund LP ("AS 2011"), 715,361 shares held by Adams Street 2012 Direct Fund LP ("AS 2012"), 541,133 shares held by Adams Street 2013 Direct Fund LP ("AS 2013"), 736,033 shares held by Adams Street 2014 Direct Fund LP ("AS 2014"), 69,864 shares held by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"), 67,769 shares held by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"), 87,668 shares held by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"), 126,806 shares held by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018") and 236,128 shares held by Adams Street Venture/Growth VI LP ("ASVG VI").
F2: Adams Street Partners, LLC, as the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
F3: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Elisha P. Gould's continued service relationship with the Issuer on each such vesting date.
F4: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.
Q2 Holdings, Inc.
Report date May 24, 2017 · Filed May 26, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,443,275 |
Reported balance
After 2017-05-24 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2017-05-24 · Other · Acquired 14,808 · Balance 3,443,275 F1: Represents 3,366 shares received by Adams Street Partnership Fund - 2007 U.S. Fund, L.P. (AS 2007 US), 4,317 shares received by Adams Street Partnership Fund - 2008 U.S. Fund, L.P. (AS 2008 US), 3,830 shares received by Adams Street Partnership Fund - 2009 U.S. Fund, L.P. (AS 2009 US), 2,695 shares received by Adams Street Partnership Fund - 2010 U.S. Fund, L.P. (AS 2010 US), and 600 shares received by Adams Street Partnership Fund - 2010 U.S. Fund - Series B, L.P. (AS 2010 US Series B), in each case, for no consideration as part of a pro-rata distribution of shares by a fund controlled by Battery Ventures. F2: Represents 1,068,616 shares held by Adams Street 2006 Direct Fund, L.P. (AS 2006), 1,206,764 shares held by Adams Street 2007 Direct Fund, L.P. (AS 2007), 404,299 shares held by Adams Street 2008 Direct Fund, L.P. (AS 2008), 349,690 shares held by Adams Street 2009 Direct Fund, L.P. (AS 2009), 198,644 shares held by Adams Street 2010 Direct Fund, L.P. (AS 2010), 159,589 shares held by Adams Street 2011 Direct Fund LP (AS 2011), 12,653 shares held by AS 2007 US, 16,230 shares held by AS 2008 US, 14,400 shares held by AS 2009 US, 10,132 shares held by AS 2010 US, and 2,258 shares held by AS 2010 US Series B. F3: The shares owned by each of AS 2006, AS 2007, AS 2008, AS 2009, AS 2010, AS 2011, AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B (the aforementioned funds, the "Funds") may be deemed to be beneficially owned by Adams Street Partners, LLC, the managing member of the general partner of each of AS 2006, AS 2007, AS 2008, AS 2009 and AS 2010, the managing member of the general partner of the general partner of AS 2011, and the general partner of AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B. F4: (Continued from Footnote 3) Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to share voting and dispositive power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 899 |
Reported balance
Holding disclosure · report date 2017-05-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 899 F5: The shares are held by Jeffrey T. Diehl, who is a partner of Adams Street Partners, LLC ("ASP"). ASP is the managing member of the general partner of each of AS 2006, AS 2007, AS 2008, AS 2009, and AS 2010, the managing member of the general partner of the general partner of AS 2011 (the aforementioned direct funds, the "Direct Funds"), and the general partner of AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B. By agreement with the Direct Funds, Mr. Diehl is deemed to hold the shares for the benefit of the Direct Funds. F6: (Continued from Footnote 5) The shares may be deemed to be beneficially owned by ASP. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of ASP (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares. ASP and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 3,366 shares received by Adams Street Partnership Fund - 2007 U.S. Fund, L.P. (AS 2007 US), 4,317 shares received by Adams Street Partnership Fund - 2008 U.S. Fund, L.P. (AS 2008 US), 3,830 shares received by Adams Street Partnership Fund - 2009 U.S. Fund, L.P. (AS 2009 US), 2,695 shares received by Adams Street Partnership Fund - 2010 U.S. Fund, L.P. (AS 2010 US), and 600 shares received by Adams Street Partnership Fund - 2010 U.S. Fund - Series B, L.P. (AS 2010 US Series B), in each case, for no consideration as part of a pro-rata distribution of shares by a fund controlled by Battery Ventures.
F2: Represents 1,068,616 shares held by Adams Street 2006 Direct Fund, L.P. (AS 2006), 1,206,764 shares held by Adams Street 2007 Direct Fund, L.P. (AS 2007), 404,299 shares held by Adams Street 2008 Direct Fund, L.P. (AS 2008), 349,690 shares held by Adams Street 2009 Direct Fund, L.P. (AS 2009), 198,644 shares held by Adams Street 2010 Direct Fund, L.P. (AS 2010), 159,589 shares held by Adams Street 2011 Direct Fund LP (AS 2011), 12,653 shares held by AS 2007 US, 16,230 shares held by AS 2008 US, 14,400 shares held by AS 2009 US, 10,132 shares held by AS 2010 US, and 2,258 shares held by AS 2010 US Series B.
F3: The shares owned by each of AS 2006, AS 2007, AS 2008, AS 2009, AS 2010, AS 2011, AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B (the aforementioned funds, the "Funds") may be deemed to be beneficially owned by Adams Street Partners, LLC, the managing member of the general partner of each of AS 2006, AS 2007, AS 2008, AS 2009 and AS 2010, the managing member of the general partner of the general partner of AS 2011, and the general partner of AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B.
F4: (Continued from Footnote 3) Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to share voting and dispositive power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
F5: The shares are held by Jeffrey T. Diehl, who is a partner of Adams Street Partners, LLC ("ASP"). ASP is the managing member of the general partner of each of AS 2006, AS 2007, AS 2008, AS 2009, and AS 2010, the managing member of the general partner of the general partner of AS 2011 (the aforementioned direct funds, the "Direct Funds"), and the general partner of AS 2007 US, AS 2008 US, AS 2009 US, AS 2010 US, and AS 2010 US Series B. By agreement with the Direct Funds, Mr. Diehl is deemed to hold the shares for the benefit of the Direct Funds.
F6: (Continued from Footnote 5) The shares may be deemed to be beneficially owned by ASP. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of ASP (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares. ASP and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares except to the extent of their pecuniary interest therein.
Rimini Street, Inc.
Report date June 03, 2025 · Filed June 05, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 272,994 |
Reported balance
After 2025-06-03 transaction · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · 2025-06-03 · Exercise / conversion · Acquired 65,335 · Balance 272,994 F10: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,320,786 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,320,786 F1: Represents shares held directly by Adams Street 2007 Direct Fund, L.P. ("AS 2007"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2007, may be deemed to beneficially own the shares held by AS 2007. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2007. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2007 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,870,262 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,870,262 F2: Represents shares held directly by Adams Street 2008 Direct Fund, L.P. ("AS 2008"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2008, may be deemed to beneficially own the shares held by AS 2008. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2008. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2008 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,267,067 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,267,067 F3: Represents shares held directly by Adams Street 2009 Direct Fund, L.P. ("AS 2009"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2009, may be deemed to beneficially own the shares held by AS 2009. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2009. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2009 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,313,301 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,313,301 F4: Represents shares held directly by Adams Street 2013 Direct Fund LP ("AS 2013"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2013, may be deemed to beneficially own the shares held by AS 2013. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2013. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2013 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,786,318 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,786,318 F5: Represents shares held directly by Adams Street 2014 Direct Fund LP ("AS 2014"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2014, may be deemed to beneficially own the shares held by AS 2014. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2014. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2014 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,371,200 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 1,371,200 F6: Represents shares held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2015, may be deemed to beneficially own the shares held by AS 2015. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2015. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2015 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,353,906 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 1,353,906 F7: Represents shares held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2016, may be deemed to beneficially own the shares held by AS 2016. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2016. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2016 except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,982,079 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 3,982,079 F8: Represents shares held directly by Adams Street Venture/Growth Fund VI LP ("AS VGVI"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS VGVI, may be deemed to beneficially own the shares held by AS VGVI. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS VGVI. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS VGVI except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 300,514 |
Reported balance
Holding disclosure · report date 2025-06-03 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 300,514 F9: Represents shares held directly by Adams Street Rimini Aggregator LLC ("ASRA"). Adams Street Partners, LLC, as the manager of ASRA, may be deemed to beneficially own the shares held by ASRA. David Brett, Alex Kessel, Michael Taylor, Benjamin Wallwork, Andy Wang and Craig D. Waslin, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by ASRA. Each of Adams Street Partners, LLC and David Brett, Alex Kessel, Michael Taylor, Benjamin Wallwork, Andy Wang and Craig D. Waslin disclaim beneficial ownership of the shares held by ASRA except to the extent of their pecuniary interest therein. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2025-06-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-06-03 · Exercise / conversion · Disposed 65,335 · Balance 0 F10: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | IndirectSee Footnote | 55,727 |
Reported balance
After 2025-06-04 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2025-06-04 · Grant · Acquired 55,727 · Balance 55,727 F15: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 4, 2026 or (ii) the day before the date of the Issuer's 2026 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares held directly by Adams Street 2007 Direct Fund, L.P. ("AS 2007"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2007, may be deemed to beneficially own the shares held by AS 2007. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2007. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2007 except to the extent of their pecuniary interest therein.
F2: Represents shares held directly by Adams Street 2008 Direct Fund, L.P. ("AS 2008"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2008, may be deemed to beneficially own the shares held by AS 2008. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2008. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2008 except to the extent of their pecuniary interest therein.
F3: Represents shares held directly by Adams Street 2009 Direct Fund, L.P. ("AS 2009"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2009, may be deemed to beneficially own the shares held by AS 2009. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2009. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2009 except to the extent of their pecuniary interest therein.
F4: Represents shares held directly by Adams Street 2013 Direct Fund LP ("AS 2013"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2013, may be deemed to beneficially own the shares held by AS 2013. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2013. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2013 except to the extent of their pecuniary interest therein.
F5: Represents shares held directly by Adams Street 2014 Direct Fund LP ("AS 2014"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2014, may be deemed to beneficially own the shares held by AS 2014. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2014. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2014 except to the extent of their pecuniary interest therein.
F6: Represents shares held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2015, may be deemed to beneficially own the shares held by AS 2015. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2015. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2015 except to the extent of their pecuniary interest therein.
F7: Represents shares held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2016, may be deemed to beneficially own the shares held by AS 2016. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2016. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2016 except to the extent of their pecuniary interest therein.
F8: Represents shares held directly by Adams Street Venture/Growth Fund VI LP ("AS VGVI"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS VGVI, may be deemed to beneficially own the shares held by AS VGVI. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS VGVI. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS VGVI except to the extent of their pecuniary interest therein.
F9: Represents shares held directly by Adams Street Rimini Aggregator LLC ("ASRA"). Adams Street Partners, LLC, as the manager of ASRA, may be deemed to beneficially own the shares held by ASRA. David Brett, Alex Kessel, Michael Taylor, Benjamin Wallwork, Andy Wang and Craig D. Waslin, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by ASRA. Each of Adams Street Partners, LLC and David Brett, Alex Kessel, Michael Taylor, Benjamin Wallwork, Andy Wang and Craig D. Waslin disclaim beneficial ownership of the shares held by ASRA except to the extent of their pecuniary interest therein.
F10: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.
F11: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds.
F12: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein.
F13: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds.
F14: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein.
F15: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.
F16: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 4, 2026 or (ii) the day before the date of the Issuer's 2026 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Fusion Pharmaceuticals Inc.
Report date December 24, 2020 · Filed December 29, 2020
Section 16 reporting ended · disclosed 2020-12-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 561,634 |
Reported balance
After 2020-12-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-12-24 · Sale · Disposed 611 · Balance 561,634 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F2: The shares are held directly by Adams Street 2014 Direct Fund LP ("AS 2014"). F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 431,117 |
Reported balance
After 2020-12-24 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-12-24 · Sale · Disposed 469 · Balance 431,117 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F3: The shares are held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"). F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 418,190 |
Reported balance
After 2020-12-24 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-12-24 · Sale · Disposed 455 · Balance 418,190 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 626,000 |
Reported balance
After 2020-12-24 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-12-24 · Sale · Disposed 681 · Balance 626,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,457,115 |
Reported balance
After 2020-12-24 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2020-12-24 · Sale · Disposed 1,584 · Balance 1,457,115 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F6: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00.
F2: The shares are held directly by Adams Street 2014 Direct Fund LP ("AS 2014").
F3: The shares are held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015").
F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").
F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").
F6: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").
F7: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
Icosavax, Inc.
Report date August 02, 2021 · Filed August 03, 2021
Section 16 reporting ended · disclosed 2021-08-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 948,188 |
Reported balance
After 2021-08-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-08-02 · Conversion · Acquired 948,188 · Balance 948,188 F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 996,169 |
Reported balance
After 2021-08-02 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-08-02 · Purchase · Acquired 47,981 · Balance 996,169 F10: ASVG VI acquired additional shares in the Issuer's initial public offering. F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 916,558 |
Reported balance
After 2021-08-02 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-08-02 · Conversion · Acquired 916,558 · Balance 916,558 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 962,939 |
Reported balance
After 2021-08-02 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2021-08-02 · Purchase · Acquired 46,381 · Balance 962,939 F11: AS GE VII acquired additional shares in the Issuer's initial public offering. F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 272,131 |
Reported balance
After 2021-08-02 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2021-08-02 · Conversion · Acquired 272,131 · Balance 272,131 F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 352,037 |
Reported balance
After 2021-08-02 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2021-08-02 · Conversion · Acquired 352,037 · Balance 352,037 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 525,729 |
Reported balance
After 2021-08-02 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2021-08-02 · Conversion · Acquired 525,729 · Balance 525,729 F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 552,333 |
Reported balance
After 2021-08-02 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 8 · 2021-08-02 · Purchase · Acquired 26,604 · Balance 552,333 F12: AS 2018 acquired additional shares in the Issuer's initial public offering. F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 244,415 |
Reported balance
After 2021-08-02 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 9 · 2021-08-02 · Conversion · Acquired 244,415 · Balance 244,415 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 256,783 |
Reported balance
After 2021-08-02 transaction · row 10
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 10 · 2021-08-02 · Purchase · Acquired 12,368 · Balance 256,783 F13: AS 2019 acquired additional shares in the Issuer's initial public offering. F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2021-08-02 · Conversion · Disposed 3,631,066 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2021-08-02 · Conversion · Disposed 3,509,939 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-08-02 · Conversion · Disposed 1,042,120 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-08-02 · Conversion · Disposed 1,348,119 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-08-02 · Conversion · Disposed 2,013,269 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2021-08-02 · Conversion · Disposed 935,985 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2021-08-02 · Conversion · Disposed 309,321 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2021-08-02 · Conversion · Disposed 299,003 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2021-08-02 · Conversion · Disposed 88,775 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2021-08-02 · Conversion · Disposed 114,843 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2021-08-02 · Conversion · Disposed 171,505 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
| Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnotes | 0 |
Reported balance
After 2021-08-02 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2021-08-02 · Conversion · Disposed 79,734 · Balance 0 F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.
F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").
F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").
F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").
F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").
F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").
F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").
F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.
F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.
F10: ASVG VI acquired additional shares in the Issuer's initial public offering.
F11: AS GE VII acquired additional shares in the Issuer's initial public offering.
F12: AS 2018 acquired additional shares in the Issuer's initial public offering.
F13: AS 2019 acquired additional shares in the Issuer's initial public offering.
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 |
|---|---|---|---|---|---|---|
| June 04, 2025 Filed Jun 5, 2025 20:54 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 55,727 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-056890 · tm2517281-1_4sseq1.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 55,727 Underlying: Common Stock · 55,727 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 4, 2026 or (ii) the day before the date of the Issuer's 2026 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 4, 2026 or (ii) the day before the date of the Issuer's 2026 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 03, 2025 Filed Jun 5, 2025 20:54 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 65,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-056890 · tm2517281-1_4sseq1.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 65,335 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. F10 · derivative.exercise_price: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 03, 2025 Filed Jun 5, 2025 20:54 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 65,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-25-056890 · tm2517281-1_4sseq1.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 272,994 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. F10 · price: On June 6, 2024, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 65,335 Restricted Stock Units which vested 100% on June 3, 2025 or the day before the date of the Issuer's 2025 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Each of Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| June 06, 2024 Filed Jun 7, 2024 20:14 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 65,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-069647 · tm2416748-1_4seq1.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 65,335 Underlying: Common Stock · 65,335 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 6, 2025 or (ii) the day before the date of the Issuer's 2025 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 6, 2025 or (ii) the day before the date of the Issuer's 2025 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 20:14 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 40,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-069647 · tm2416748-1_4seq1.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 40,178 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. F10 · derivative.exercise_price: On June 7, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 40,178 Restricted Stock Units which vested 100% on June 5, 2024 or the day before the date of the Issuer's 2024 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On June 7, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 40,178 Restricted Stock Units which vested 100% on June 5, 2024 or the day before the date of the Issuer's 2024 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On June 7, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 40,178 Restricted Stock Units which vested 100% on June 5, 2024 or the day before the date of the Issuer's 2024 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On June 7, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 40,178 Restricted Stock Units which vested 100% on June 5, 2024 or the day before the date of the Issuer's 2024 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 20:14 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 40,178 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-069647 · tm2416748-1_4seq1.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 207,659 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. F10 · price: On June 7, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 40,178 Restricted Stock Units which vested 100% on June 5, 2024 or the day before the date of the Issuer's 2024 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| June 07, 2023 Filed Jun 8, 2023 23:31 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 40,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-069543 · tm2318299-1_4seq1.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 40,178 Underlying: Common Stock · 40,178 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 7, 2024 or (ii) the day before the date of the Issuer's 2024 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 7, 2024 or (ii) the day before the date of the Issuer's 2024 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 23:31 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 45,918 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-069543 · tm2318299-1_4seq1.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 45,918 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. F10 · derivative.exercise_price: On March 28, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 45,918 Restricted Stock Units which vested 100% on June 6, 2023 or the day before the date of the Issuer's 2023 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On March 28, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 45,918 Restricted Stock Units which vested 100% on June 6, 2023 or the day before the date of the Issuer's 2023 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On March 28, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 45,918 Restricted Stock Units which vested 100% on June 6, 2023 or the day before the date of the Issuer's 2023 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On March 28, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 45,918 Restricted Stock Units which vested 100% on June 6, 2023 or the day before the date of the Issuer's 2023 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 23:31 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 45,918 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-069543 · tm2318299-1_4seq1.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 167,481 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. F10 · price: On March 28, 2023, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 45,918 Restricted Stock Units which vested 100% on June 6, 2023 or the day before the date of the Issuer's 2023 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| March 28, 2023 Filed Mar 31, 2023 01:00 UTC Amendment | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Units · Derivative | 45,918 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-039431 · tm2311098-1_4a.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 45,918 Underlying: Common Stock · 45,918 shares Expires not disclosed F11 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F12 · date: On June 2, 2022, the Reporting Person filed a Form 4 reporting an award of 27,522 Restricted Stock Units by Robin Murray effective as of June 1, 2022. Due to Issuer administrative error, the award was not processed. In accordance with the Issuer's Non-Employee Director Compensation Policy, a copy of which is filed as Exhibit 10.9 to the Issuer's Annual Report on Form 10-K for the year ended December 31, 2022, Robin Murray is entitled to receive an award of Restricted Stock Units (RSUs) with a grant date value of $180,000. This award was processed effective as of March 28, 2023, resulting in the issuance of 45,918 RSUs to Robin Murray. F12 · shares: On June 2, 2022, the Reporting Person filed a Form 4 reporting an award of 27,522 Restricted Stock Units by Robin Murray effective as of June 1, 2022. Due to Issuer administrative error, the award was not processed. In accordance with the Issuer's Non-Employee Director Compensation Policy, a copy of which is filed as Exhibit 10.9 to the Issuer's Annual Report on Form 10-K for the year ended December 31, 2022, Robin Murray is entitled to receive an award of Restricted Stock Units (RSUs) with a grant date value of $180,000. This award was processed effective as of March 28, 2023, resulting in the issuance of 45,918 RSUs to Robin Murray. F13 · shares: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. F14 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 1, 2023 or (ii) the day before the date of the Issuer's 2023 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F14 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 1, 2023 or (ii) the day before the date of the Issuer's 2023 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F12 · derivative.underlying_shares: On June 2, 2022, the Reporting Person filed a Form 4 reporting an award of 27,522 Restricted Stock Units by Robin Murray effective as of June 1, 2022. Due to Issuer administrative error, the award was not processed. In accordance with the Issuer's Non-Employee Director Compensation Policy, a copy of which is filed as Exhibit 10.9 to the Issuer's Annual Report on Form 10-K for the year ended December 31, 2022, Robin Murray is entitled to receive an award of Restricted Stock Units (RSUs) with a grant date value of $180,000. This award was processed effective as of March 28, 2023, resulting in the issuance of 45,918 RSUs to Robin Murray. F12 · balance_after: On June 2, 2022, the Reporting Person filed a Form 4 reporting an award of 27,522 Restricted Stock Units by Robin Murray effective as of June 1, 2022. Due to Issuer administrative error, the award was not processed. In accordance with the Issuer's Non-Employee Director Compensation Policy, a copy of which is filed as Exhibit 10.9 to the Issuer's Annual Report on Form 10-K for the year ended December 31, 2022, Robin Murray is entitled to receive an award of Restricted Stock Units (RSUs) with a grant date value of $180,000. This award was processed effective as of March 28, 2023, resulting in the issuance of 45,918 RSUs to Robin Murray. F12 · ownership.nature: On June 2, 2022, the Reporting Person filed a Form 4 reporting an award of 27,522 Restricted Stock Units by Robin Murray effective as of June 1, 2022. Due to Issuer administrative error, the award was not processed. In accordance with the Issuer's Non-Employee Director Compensation Policy, a copy of which is filed as Exhibit 10.9 to the Issuer's Annual Report on Form 10-K for the year ended December 31, 2022, Robin Murray is entitled to receive an award of Restricted Stock Units (RSUs) with a grant date value of $180,000. This award was processed effective as of March 28, 2023, resulting in the issuance of 45,918 RSUs to Robin Murray. F13 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 22:20 UTC | Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $0.97 | $0.00 |
DisclosureSEC source: 0001104659-22-091430 · tm2223529-1_4seq1.xml · derivative · entry 2 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-08-11 F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Elisha P. Gould's continued service relationship with the Issuer on each such vesting date. F4 · ownership.nature: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 17:46 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 27,522 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-067985 · tm2217667-1_4seq1.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 27,522 Underlying: Common Stock · 27,522 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 1, 2023 or (ii) the day before the date of the Issuer's 2023 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 1, 2023 or (ii) the day before the date of the Issuer's 2023 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 17:46 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 27,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-067985 · tm2217667-1_4seq1.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 27,565 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. F10 · derivative.exercise_price: On June 1, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 27,565 Restricted Stock Units which vested 100% on May 31, 2022 or the day before the date of the Issuer's 2022 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On June 1, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 27,565 Restricted Stock Units which vested 100% on May 31, 2022 or the day before the date of the Issuer's 2022 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On June 1, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 27,565 Restricted Stock Units which vested 100% on May 31, 2022 or the day before the date of the Issuer's 2022 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On June 1, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 27,565 Restricted Stock Units which vested 100% on May 31, 2022 or the day before the date of the Issuer's 2022 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| May 31, 2022 Filed Jun 3, 2022 17:46 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 27,565 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-067985 · tm2217667-1_4seq1.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 121,563 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. F10 · price: On June 1, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 27,565 Restricted Stock Units which vested 100% on May 31, 2022 or the day before the date of the Issuer's 2022 Annual Meeting of Stockholders. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| September 09, 2021 Filed Sep 13, 2021 20:02 UTC | Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001104659-21-115070 · tm2127493-1_4seq1.xml · derivative · entry 2 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2021-09-09 F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the first anniversary of the grant date. F4 · ownership.nature: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 79,734 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 22 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 19,186 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 171,505 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 21 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 41,269 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 114,843 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 20 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 27,635 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 88,775 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 19 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 21,362 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 299,003 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 18 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 71,950 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries B-1 Preferred Stock · Derivative | 309,321 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 17 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 74,432 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 935,985 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 16 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 225,229 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 2,013,269 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 15 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 484,459 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 1,348,119 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 14 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 324,402 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 1,042,120 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 13 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 250,768 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 3,509,939 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 844,608 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionSeries A-1 Preferred Stock · Derivative | 3,631,066 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 873,755 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 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | PurchaseCommon Stock | 12,368 | $15.00 | $185,520.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 256,783 F13 · kind: AS 2019 acquired additional shares in the Issuer's initial public offering. F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 244,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 9 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 244,415 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | PurchaseCommon Stock | 26,604 | $15.00 | $399,060.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 8 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 552,333 F12 · kind: AS 2018 acquired additional shares in the Issuer's initial public offering. F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 525,729 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 7 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 525,729 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. F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 352,037 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 6 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 352,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 272,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 5 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 272,131 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. F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | PurchaseCommon Stock | 46,381 | $15.00 | $695,715.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 4 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 962,939 F11 · kind: AS GE VII acquired additional shares in the Issuer's initial public offering. F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 916,558 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 3 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 916,558 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | PurchaseCommon Stock | 47,981 | $15.00 | $719,715.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 2 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 996,169 F10 · kind: ASVG VI acquired additional shares in the Issuer's initial public offering. F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| August 02, 2021 Filed Aug 3, 2021 22:24 UTC | Icosavax, Inc. ICVX · Entity 94107 | ConversionCommon Stock | 948,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-099613 · tm2124030-1_4seq1.xml · nonDerivative · entry 1 ADAMS STREET PARTNERS LLC · CIK 0001193586 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 948,188 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. F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer. F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder. F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| June 15, 2021 Filed Jun 16, 2021 20:15 UTC | Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0001104659-21-082015 · tm2119970-1_4seq1.xml · derivative · entry 2 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-15 F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date. F4 · ownership.nature: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 20:19 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 27,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-077037 · tm2118815-1_4.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 27,565 Underlying: Common Stock · 27,565 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on the earlier to occur of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 20:19 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 16,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-077037 · tm2118815-1_4.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 16,375 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. F10 · derivative.exercise_price: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 20:19 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 16,375 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-077037 · tm2118815-1_4.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 93,998 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. F10 · price: On January 4, 2021, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 16,375 Restricted Stock Units which vested 100% on June 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 21:02 UTC | Rimini Street, Inc. RMNI · Entity 5475 | SaleCommon Stock | 40,911 | $7.37 | $301,514.07 |
DisclosureSEC source: 0001104659-21-034987 · tm219376d1_4.xml · nonDerivative · entry 3 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,267,067 F3 · ownership.nature: Represents shares held directly by Adams Street 2009 Direct Fund, L.P. ("AS 2009"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2009, may be deemed to beneficially own the shares held by AS 2009. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2009. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2009 except to the extent of their pecuniary interest therein. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 21:02 UTC | Rimini Street, Inc. RMNI · Entity 5475 | SaleCommon Stock | 46,695 | $7.37 | $344,142.15 |
DisclosureSEC source: 0001104659-21-034987 · tm219376d1_4.xml · nonDerivative · entry 2 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,870,262 F2 · ownership.nature: Represents shares held directly by Adams Street 2008 Direct Fund, L.P. ("AS 2008"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2008, may be deemed to beneficially own the shares held by AS 2008. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2008. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2008 except to the extent of their pecuniary interest therein. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 21:02 UTC | Rimini Street, Inc. RMNI · Entity 5475 | SaleCommon Stock | 41,426 | $7.37 | $305,309.62 |
DisclosureSEC source: 0001104659-21-034987 · tm219376d1_4.xml · nonDerivative · entry 1 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,320,786 F1 · ownership.nature: Represents shares held directly by Adams Street 2007 Direct Fund, L.P. ("AS 2007"). Adams Street Partners, LLC, as the managing member of the general partner of AS 2007, may be deemed to beneficially own the shares held by AS 2007. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2007. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, and Fred Wang disclaim beneficial ownership of the shares held by AS 2007 except to the extent of their pecuniary interest therein. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 21:03 UTC | Rimini Street, Inc. RMNI · Entity 5475 | GrantRestricted Stock Unit · Derivative | 16,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-000897 · tm211737d1_4.xml · derivative · entry 12 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,375 Underlying: Common Stock · 16,375 shares Expires not disclosed F15 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F15 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F16 · derivative.exercise_date: 100% of the Restricted Stock Units awarded will vest on June 2, 2021, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F16 · derivative.expiration_date: 100% of the Restricted Stock Units awarded will vest on June 2, 2021, contingent upon Robin Murray's continued service as a member of the Issuer's Board of Directors through such date. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang , each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 21:03 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionRestricted Stock Unit · Derivative | 38,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-000897 · tm211737d1_4.xml · derivative · entry 11 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 38,167 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. F10 · derivative.exercise_price: On January 2, 2020, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 38,167 Restricted Stock Units which vested 100% on January 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · shares: On January 2, 2020, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 38,167 Restricted Stock Units which vested 100% on January 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.exercise_date: On January 2, 2020, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 38,167 Restricted Stock Units which vested 100% on January 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F10 · derivative.expiration_date: On January 2, 2020, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 38,167 Restricted Stock Units which vested 100% on January 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F13 · ownership.nature: These Restricted Stock Units were granted to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, the managing member of the general partner of the general partner of each of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI, and the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the Restricted Stock Units for the benefit of the Funds. F14 · ownership.nature: The Restricted Stock Units may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang , each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the Restricted Stock Units except to the extent of their pecuniary interest therein. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 21:03 UTC | Rimini Street, Inc. RMNI · Entity 5475 | Exercise / conversionCommon Stock | 38,167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-000897 · tm211737d1_4.xml · nonDerivative · entry 10 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 77,623 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. F10 · price: On January 2, 2020, Robin Murray, a director of the Issuer and partner of Adams Street Partners, LLC, was granted 38,167 Restricted Stock Units which vested 100% on January 2, 2021. Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F11 · ownership.nature: The shares of common stock were issued to Robin Murray, a director of the Issuer, who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of AS 2007, AS 2008 and AS 2009, is the managing member of the general partner of the general partner of AS 2013, AS 2014, AS 2015, AS 2016 and AS VGVI (collectively, the "Funds") and is the manager of ASRA. By agreement with the Funds, Mr. Murray is deemed to hold the common stock for the benefit of the Funds. F12 · ownership.nature: The common stock may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the common stock except to the extent of their pecuniary interest therein. Read SEC document |
| December 24, 2020 Filed Dec 29, 2020 16:01 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | SaleCommon Stock | 1,584 | $12.32 | $19,514.88 |
DisclosureSEC source: 0001104659-20-140145 · tm2039509d1_4.xml · nonDerivative · entry 5 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,457,115 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F6 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). F7 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| December 24, 2020 Filed Dec 29, 2020 16:01 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | SaleCommon Stock | 681 | $12.32 | $8,389.92 |
DisclosureSEC source: 0001104659-20-140145 · tm2039509d1_4.xml · nonDerivative · entry 4 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 626,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). F7 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. Read SEC document |
| December 24, 2020 Filed Dec 29, 2020 16:01 UTC | Fusion Pharmaceuticals Inc. FUSN · Entity 11851 | SaleCommon Stock | 455 | $12.32 | $5,605.60 |
DisclosureSEC source: 0001104659-20-140145 · tm2039509d1_4.xml · nonDerivative · entry 3 ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 418,190 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.81 to $12.00. F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). F7 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of each of AS 2014, AS 2015, AS 2016, AS 2017 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein. 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.