Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Jade Biosciences, Inc.AVTE · Entity 4757 | Director · 10% owner | June 05, 2024 | June 07, 2024 |
| Vera Therapeutics, Inc.VERA · Entity 4358 | Director | May 14, 2025 | May 16, 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.
Jade Biosciences, Inc.
Report date June 05, 2024 · Filed June 07, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.90 · Expires 2034-06-04 | Direct | 12,500 |
Reported balance
After 2024-06-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-05 · Grant · Acquired 12,500 · Balance 12,500 F1: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 5, 2025 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 5, 2025 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date.
Vera Therapeutics, Inc.
Report date May 14, 2025 · Filed May 16, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.19 · Expires 2035-05-13 | Direct | 14,000 |
Reported balance
After 2025-05-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-05-14 · Grant · Acquired 14,000 · Balance 14,000 F1: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2026 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2026 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control.
Past disclosures · reporting ended (5)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date June 30, 2020 · Filed July 01, 2020
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., HEALY JAMES, POWELL MICHAEL
Section 16 reporting ended · disclosed 2020-07-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,515,073 |
Last balance in matching sequence
After 2020-06-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-06-30 · Conversion · Acquired 856,262 · Balance 856,262 F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2020-06-30 · Conversion · Acquired 599,988 · Balance 1,456,250 F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 3 · 2020-06-30 · Purchase · Acquired 58,823 · Balance 1,515,073 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-06-30 · Conversion · Disposed 18,044,028 · Balance 0 F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-30 · Conversion · Disposed 12,643,557 · Balance 0 F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
F3: Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date.
Bolt Biotherapeutics, Inc.
Report date February 09, 2021 · Filed February 09, 2021
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., POWELL MICHAEL
Section 16 reporting ended · disclosed 2021-02-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,754,437 |
Last balance in matching sequence
After 2021-02-09 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-02-09 · Conversion · Acquired 1,104,209 · Balance 1,104,209 F1: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2021-02-09 · Conversion · Acquired 1,200,228 · Balance 2,304,437 F3: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 3 · 2021-02-09 · Purchase · Acquired 450,000 · Balance 2,754,437 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-02-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-02-09 · Conversion · Disposed 1,104,209 · Balance 0 F1: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-02-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-02-09 · Conversion · Disposed 1,200,228 · Balance 0 F3: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
F3: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
CinCor Pharma, Inc.
Report date November 28, 2022 · Filed February 27, 2023
Jointly reported with HEALY JAMES, Sofinnova Management X, L.P., Sofinnova Management X-A, L.L.C., Sofinnova Venture Partners X, L.P.
Section 16 reporting ended · disclosed 2023-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Synergy Master Fund, LP | 0 |
Reported balance
After 2022-11-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-11-28 · Sale · Disposed 6,000 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.30 to $14.35 inclusive. Dr. Healy undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2: The shares are directly held by Sofinnova Synergy Master Fund, LP (the "Synergy Fund"). Sofinnova Synergy Fund GP, LLC (the "Synergy Fund GP"), the general partner of the Syngery Fund, may be deemed to have sole voting and dispositive power over such shares. Dr. Healy is a managing member of the Synergy Fund GP and may be deemed to share voting and dispositive power over the shares held by the Synergy Fund. Dr. Healy disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 19,608 |
Reported balance
After 2023-02-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-02-24 · Other · Disposed 9,803 · Balance 19,608 F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-02-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-02-24 · Disposition to issuer · Disposed 19,608 · Balance 0 F5: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price. |
| Common StockSEC Table I · non-derivative | IndirectBy Sofinnova Venture Partners X, L.P. | 0 |
Reported balance
After 2023-02-24 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-02-24 · Other · Disposed 6,073,949 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F6: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Dr. Healy and Dr. Katabi are the managing member of SM X LLC and may be deemed to have shared voting and dispositive power over the shares held by SVP X. Each of Dr. Healy and Dr. Katabi disclaims beneficial ownership of such shares, except to the extent of his or her 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 $14.30 to $14.35 inclusive. Dr. Healy undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F2: The shares are directly held by Sofinnova Synergy Master Fund, LP (the "Synergy Fund"). Sofinnova Synergy Fund GP, LLC (the "Synergy Fund GP"), the general partner of the Syngery Fund, may be deemed to have sole voting and dispositive power over such shares. Dr. Healy is a managing member of the Synergy Fund GP and may be deemed to share voting and dispositive power over the shares held by the Synergy Fund. Dr. Healy disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F3: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)]
F4: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
F5: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price.
F6: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Dr. Healy and Dr. Katabi are the managing member of SM X LLC and may be deemed to have shared voting and dispositive power over the shares held by SVP X. Each of Dr. Healy and Dr. Katabi disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein.
Inozyme Pharma, Inc.
Report date July 28, 2020 · Filed July 28, 2020
Jointly reported with Sofinnova Venture Partners X, L.P., Sofinnova Management X, L.P., HEALY JAMES, POWELL MICHAEL
Section 16 reporting ended · disclosed 2020-07-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,028,308 |
Last balance in matching sequence
After 2020-07-28 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-07-28 · Conversion · Acquired 1,590,808 · Balance 1,590,808 F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Row 2 · 2020-07-28 · Purchase · Acquired 437,500 · Balance 2,028,308 F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-28 · Conversion · Disposed 11,888,112 · Balance 0 F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 28, 2020, the Series A-2 Convertible Preferred Stock automatically converted into Common Stock on a 7.4730-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
RayzeBio, Inc.
Report date February 26, 2024 · Filed February 27, 2024
Section 16 reporting ended · disclosed 2024-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2024-02-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-02-26 · Disposition to issuer · Disposed 1,209,764 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 25, 2023, by and among RayzeBio, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and, by way of a joinder dated December 26, 2023, Rudolph Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on February 22, 2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the $62.50 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for the Cash Amount. F2: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2024-02-26 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-02-26 · Disposition to issuer · Disposed 1,209,764 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 25, 2023, by and among RayzeBio, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and, by way of a joinder dated December 26, 2023, Rudolph Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on February 22, 2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the $62.50 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for the Cash Amount. F3: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.72 · Expires 2033-11-16 | Direct | 0 |
Reported balance
After 2024-02-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-02-26 · Disposition to issuer · Disposed 18,235 · Balance 0 F4: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $62.50 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 25, 2023, by and among RayzeBio, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and, by way of a joinder dated December 26, 2023, Rudolph Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on February 22, 2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the $62.50 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for the Cash Amount.
F2: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F3: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
F4: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $62.50 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 14, 2025 Filed May 16, 2025 16:13 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | GrantStock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $21.19 | $0.00 |
DisclosureSEC source: 0001415889-25-013423 · form4-05162025_080547.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,000 Underlying: Class A Common Stock · 14,000 shares Expires 2035-05-13 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2026 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control. Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 22:00 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $18.90 | $0.00 |
DisclosureSEC source: 0001415889-24-016056 · form4-06072024_060610.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2034-06-04 F1 · derivative.exercise_date: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 5, 2025 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 15, 2024 Filed May 17, 2024 16:13 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | GrantStock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $42.69 | $0.00 |
DisclosureSEC source: 0001415889-24-013476 · form4-05172024_080515.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,000 Underlying: Class A Common Stock · 14,000 shares Expires 2034-05-14 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2025 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control. Read SEC document |
| March 25, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 340,000 | $40.50 | $13,770,000.00 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 6 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 2,793,987 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.50 to $41.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| March 22, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 413,450 | $40.51 | $16,748,859.50 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 5 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,133,987 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.50 to $41.18, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 13,718 | $46.18 | $633,497.24 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 4 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,547,437 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.94, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 12,617 | $45.52 | $574,325.84 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 3 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,561,155 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.06 to $45.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 21,918 | $44.00 | $964,392.00 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 2 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,573,772 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| March 21, 2024 Filed Mar 25, 2024 21:46 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | SaleClass A Common Stock | 32,756 | $43.00 | $1,408,508.00 |
DisclosureSEC source: 0001104659-24-038589 · tm249771-1_4seq1.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,595,690 F1 · kind: A portion of the sales reported herein are matchable, for purposes of Section 16(b) of the Exchange Act, with a purchase (the "Purchase") of shares of Class A Common Stock on January 30, 2024 by Sofinnova Venture Partners X, L.P. ("SVP X"), an entity in which Dr. Katabi has a pecuniary interest. As a result, Dr. Katabi is liable for short-swing profits to the extent of her pecuniary interest in the Purchase and such portion of the sales reported herein. Dr. Katabi has agreed with the Issuer to disgorge her short-swing profits attributable to the matching of the Purchase with the sales reported herein. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · ownership.nature: The shares are held directly by SVP X. Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| February 26, 2024 Filed Feb 27, 2024 16:47 UTC | RayzeBio, Inc. RYZB · Entity 93779 | Disposition to issuerStock Option (right to buy) · Derivative | 18,235 | Not disclosed Strike: $22.72 | Not disclosed |
DisclosureSEC source: 0001415889-24-005511 · form4-02272024_090205.xml · derivative · entry 3 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,235 shares Expires 2033-11-16 F4 · price: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $62.50 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes. F4 · derivative.exercise_date: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $62.50 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes. Read SEC document |
| February 26, 2024 Filed Feb 27, 2024 16:47 UTC | RayzeBio, Inc. RYZB · Entity 93779 | Disposition to issuerCommon Stock | 1,209,764 | $62.50 | $75,610,250.00 |
DisclosureSEC source: 0001415889-24-005511 · form4-02272024_090205.xml · nonDerivative · entry 2 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 25, 2023, by and among RayzeBio, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and, by way of a joinder dated December 26, 2023, Rudolph Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on February 22, 2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the $62.50 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for the Cash Amount. F3 · ownership.nature: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| February 26, 2024 Filed Feb 27, 2024 16:47 UTC | RayzeBio, Inc. RYZB · Entity 93779 | Disposition to issuerCommon Stock | 1,209,764 | $62.50 | $75,610,250.00 |
DisclosureSEC source: 0001415889-24-005511 · form4-02272024_090205.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 25, 2023, by and among RayzeBio, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and, by way of a joinder dated December 26, 2023, Rudolph Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on February 22, 2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the $62.50 per Share in cash, without interest, subject to any applicable withholding of taxes (the "Cash Amount"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for the Cash Amount. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| January 30, 2024 Filed Feb 1, 2024 17:58 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | PurchaseClass A Common Stock | 161,290 | $31.00 | $4,999,990.00 |
DisclosureSEC source: 0001104659-24-009537 · tm244970-1_4seq1.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,628,446 F1 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Such entities and individuals each disclaim beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 23:00 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 3,519 | $13.49 Strike: $21.81 | $47,471.31 |
DisclosureSEC source: 0001415889-24-000704 · form4-01042024_060107.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,519 Underlying: Common Stock · 3,519 shares Expires 2034-01-01 F1 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2024, the second installment vesting on June 30, 2024, the third installment vesting on September 30, 2024, and the fourth installment vesting on December 31, 2024. F1 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2024, the second installment vesting on June 30, 2024, the third installment vesting on September 30, 2024, and the fourth installment vesting on December 31, 2024. Read SEC document |
| November 17, 2023 Filed Nov 17, 2023 18:37 UTC | RayzeBio, Inc. RYZB · Entity 93779 | GrantStock Option (right to buy) · Derivative | 18,235 | $0.00 Strike: $22.72 | $0.00 |
DisclosureSEC source: 0001628280-23-039536 · wk-form4_1700264215.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,235 Underlying: Common Stock · 18,235 shares Expires 2033-11-16 F1 · derivative.exercise_date: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board through such vesting date. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | ConversionSeries D Convertible Preferred Stock · Derivative | 973,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · derivative · entry 6 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners XI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 973,653 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · price: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F3 · ownership.nature: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | ConversionSeries D Convertible Preferred Stock · Derivative | 973,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · derivative · entry 5 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 0 Underlying: Common Stock · 973,653 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · price: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | PurchaseCommon Stock | 236,111 | $18.00 | $4,249,998.00 |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · nonDerivative · entry 4 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,209,764 F4 · kind: The shares were purchased in the Issuer's initial public offering. F3 · ownership.nature: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | PurchaseCommon Stock | 236,111 | $18.00 | $4,249,998.00 |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · nonDerivative · entry 3 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,209,764 F4 · kind: The shares were purchased in the Issuer's initial public offering. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | ConversionCommon Stock | 973,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · nonDerivative · entry 2 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 973,653 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: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F3 · ownership.nature: The shares are held by Sofinnova Venture Partners XI, L.P. ("SVP XI"). Sofinnova Management XI, L.P. ("SM XI LP"), the general partner of SVP XI, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management XI, L.L.C. ("SM XI LLC"), the general partner of SM XI LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM XI LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| September 19, 2023 Filed Sep 21, 2023 17:10 UTC | RayzeBio, Inc. RYZB · Entity 93779 | ConversionCommon Stock | 973,653 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-050305 · doc4.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 973,653 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: Every 5.141 shares of Series D Convertible Preferred Stock (the "Preferred Stock") automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP"), the general partner of SVP X, may be deemed to have sole voting and dispositive power over these shares, and Sofinnova Management X-A, L.L.C. ("SM X LLC"), the general partner of SM X LP, may be deemed to have sole voting and dispositive power over these shares. Dr. James I. Healy and Dr. Maha Katabi, the managing members of SM X LLC, may be deemed to have shared power to vote and dispose of these shares. Such entities and individuals disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Read SEC document |
| June 06, 2023 Filed Jun 8, 2023 22:00 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $16.30 | $0.00 |
DisclosureSEC source: 0001415889-23-009446 · form4-06082023_060612.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2033-06-05 F1 · derivative.exercise_date: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 6, 2024 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 10, 2023 Filed May 12, 2023 16:14 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $7.70 | $0.00 |
DisclosureSEC source: 0001209191-23-029024 · doc4.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Class A Common Stock · 20,000 shares Expires 2033-05-09 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2024 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control. Read SEC document |
| February 24, 2023 Filed Feb 27, 2023 21:15 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | OtherCommon Stock | 6,073,949 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013481 · doc4.xml · nonDerivative · entry 4 HEALY JAMES · CIK 0001245624 · Director · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Sofinnova Management X, L.P. · CIK 0001680194 · 10% owner Sofinnova Management X-A, L.L.C. · CIK 0001965187 · 10% owner Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 0 F3 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4 · shares: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4 · price: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F6 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting and dispositive power over the shares held by SVP X. Dr. Healy and Dr. Katabi are the managing member of SM X LLC and may be deemed to have shared voting and dispositive power over the shares held by SVP X. Each of Dr. Healy and Dr. Katabi disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein. Read SEC document |
| February 24, 2023 Filed Feb 27, 2023 21:15 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | Disposition to issuerCommon Stock | 19,608 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013481 · doc4.xml · nonDerivative · entry 3 HEALY JAMES · CIK 0001245624 · Director · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Sofinnova Management X, L.P. · CIK 0001680194 · 10% owner Sofinnova Management X-A, L.L.C. · CIK 0001965187 · 10% owner Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F5 · shares: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price. F5 · price: This line item represents Shares of common stock held by the Dr. Healy that were acquired pursuant to the exercise of an early-exercise option and remain subject to a right of repurchase by the Issuer. At the effective time of the Merger, pursuant to the Merger Agreement, except as otherwise set forth in the Merger Agreement, each Share issued upon early exercise of an option that is subject to vesting, repurchase or other lapse restrictions was accelerated and became fully vested and was cancelled and automatically converted into the right to receive, without interest, the Offer Price. Read SEC document |
| February 24, 2023 Filed Feb 27, 2023 21:15 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | OtherCommon Stock | 9,803 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-013481 · doc4.xml · nonDerivative · entry 2 HEALY JAMES · CIK 0001245624 · Director · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Sofinnova Management X, L.P. · CIK 0001680194 · 10% owner Sofinnova Management X-A, L.L.C. · CIK 0001965187 · 10% owner Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,608 F3 · shares: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4 · shares: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. F3 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 8, 2023, by and among CinCor Pharma, Inc. (the "Issuer"), AstraZeneca Finance and Holdings Inc. ("Parent") and Cinnamon Acquisition, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on February 24, 2023, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (i) $26.00 per Share in cash (the "Cash Amount"), plus (ii) one contingent value right (each, a "CVR") per Share representing the right to receive a contingent payment of $10.00 per share, [continues to footnote (4)] F4 · price: [continues from footnote (3)] in cash, upon the achievement of a specified milestone by December 31, 2033 (the Cash Amount plus one CVR, collectively, the "Offer Price"), in each case, without interest, subject to any applicable withholding taxes. Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Offer Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 18:29 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | PurchaseClass A Common Stock | 285,714 | $7.00 | $1,999,998.00 |
DisclosureSEC source: 0001104659-23-014661 · tm235954-1_4seq1.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.P. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · Director · 10% owner Sofinnova Management X-A, L.L.C. · CIK 0001965187 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,467,156 F1 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.P. ("SM X LP") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. Sofinnova Management X-A, L.L.C. ("SM X LLC") is the general partner of SVP X LP and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 22:00 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 2,627 | $18.08 Strike: $27.03 | $47,496.16 |
DisclosureSEC source: 0001415889-23-000553 · form4-01052023_050114.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,627 Underlying: Common Stock · 2,627 shares Expires 2033-01-02 F1 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2023, the second installment vesting on June 30, 2023, the third installment vesting on September 30, 2023, and the fourth installment vesting on December 31, 2023. F1 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2023, the second installment vesting on June 30, 2023, the third installment vesting on September 30, 2023, and the fourth installment vesting on December 31, 2023. Read SEC document |
| November 28, 2022 Filed Feb 27, 2023 21:15 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | SaleCommon Stock | 6,000 | $14.32 | $85,920.00 |
DisclosureSEC source: 0001209191-23-013481 · doc4.xml · nonDerivative · entry 1 HEALY JAMES · CIK 0001245624 · Director · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Sofinnova Management X, L.P. · CIK 0001680194 · 10% owner Sofinnova Management X-A, L.L.C. · CIK 0001965187 · 10% owner Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Synergy Master Fund, LP Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.30 to $14.35 inclusive. Dr. Healy undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares are directly held by Sofinnova Synergy Master Fund, LP (the "Synergy Fund"). Sofinnova Synergy Fund GP, LLC (the "Synergy Fund GP"), the general partner of the Syngery Fund, may be deemed to have sole voting and dispositive power over such shares. Dr. Healy is a managing member of the Synergy Fund GP and may be deemed to share voting and dispositive power over the shares held by the Synergy Fund. Dr. Healy disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 15:46 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 500,000 | $30.00 | $15,000,000.00 |
DisclosureSEC source: 0001104659-22-091184 · tm2223413-2_4seq1.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 6,073,949 F1 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. Dr. James I. Healy and Dr. Maha Katabi are managing members of SM X and may be deemed to share voting and dispositive power over the shares held by SVP X. Each of SM X and Dr. Katabi disclaims beneficial ownership of such shares except to the extent of its or her respective pecuniary interest therein. Dr. Healy is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 21:00 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $12.26 | $0.00 |
DisclosureSEC source: 0001493152-22-017512 · ownership.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2032-06-20 F1 · derivative.exercise_date: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 21, 2023 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 24, 2022 Filed May 26, 2022 16:11 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | GrantStock Option (right to buy) · Derivative | 9,925 | $0.00 Strike: $16.14 | $0.00 |
DisclosureSEC source: 0001209191-22-032176 · doc4.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,925 Underlying: Class A Common Stock · 9,925 shares Expires 2032-05-23 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of the first anniversary of the grant date or the date of the Company's 2023 annual stockholder meeting, subject to the Reporting Person's continuous service through such vesting date. Notwithstanding the foregoing, the shares will vest in full upon a change in control, subject to the Reporting Person's continuous service through the date of such change in control. Read SEC document |
| February 10, 2022 Filed Feb 14, 2022 18:17 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | PurchaseClass A Common Stock | 266,666 | $15.00 | $3,999,990.00 |
DisclosureSEC source: 0001104659-22-023301 · tm226514d1_form4.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner HEALY JAMES · CIK 0001245624 · 10% owner Katabi Maha · CIK 0001720685 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,181,442 F1 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the Reporting Persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Michael Powell, a Reporting Person on SVP X's prior Section 16 filings with respect to the Issuer, is no longer a managing member of SM X, and accordingly, is not a Reporting Person on this Form 4. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 16:38 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | ConversionSeries B Preferred Stock · Derivative | 4,275,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-003197 · doc4.xml · derivative · entry 4 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,257,353 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. Dr. James I. Healy and Dr. Maha Katabi are managing members of SM X and may be deemed to share voting and investment power over the shares held by SVP X. Each of SM X and Dr. Katabi disclaims beneficial ownership of these shares except to the extent of its or her respective pecuniary interest therein. Dr. Healy is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 16:38 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | ConversionSeries A Preferred Stock · Derivative | 13,571,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-003197 · doc4.xml · derivative · entry 3 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,991,596 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. Dr. James I. Healy and Dr. Maha Katabi are managing members of SM X and may be deemed to share voting and investment power over the shares held by SVP X. Each of SM X and Dr. Katabi disclaims beneficial ownership of these shares except to the extent of its or her respective pecuniary interest therein. Dr. Healy is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 16:38 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | PurchaseCommon Stock | 325,000 | $16.00 | $5,200,000.00 |
DisclosureSEC source: 0001209191-22-003197 · doc4.xml · nonDerivative · entry 2 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 5,573,949 F2 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. Dr. James I. Healy and Dr. Maha Katabi are managing members of SM X and may be deemed to share voting and investment power over the shares held by SVP X. Each of SM X and Dr. Katabi disclaims beneficial ownership of these shares except to the extent of its or her respective pecuniary interest therein. Dr. Healy is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 16:38 UTC | CinCor Pharma, Inc. CINC · Entity 116342 | ConversionCommon Stock | 5,248,949 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-003197 · doc4.xml · nonDerivative · entry 1 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 5,248,949 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering (the "IPO") for no additional consideration, on a 3.4:1 basis, and had no expiration date. F2 · ownership.nature: The shares are directly held by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. Dr. James I. Healy and Dr. Maha Katabi are managing members of SM X and may be deemed to share voting and investment power over the shares held by SVP X. Each of SM X and Dr. Katabi disclaims beneficial ownership of these shares except to the extent of its or her respective pecuniary interest therein. Dr. Healy is a director of the Issuer and files separate Section 16 reports. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 22:15 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 7,240 | $6.56 Strike: $10.93 | $47,494.40 |
DisclosureSEC source: 0001493152-22-000463 · ownership.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,240 Underlying: Common Stock · 7,240 shares Expires 2032-01-02 F1 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2022, the second installment vesting on June 30, 2022, the third installment vesting on September 30, 2022, and the fourth installment vesting on December 31, 2022. F1 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2022, the second installment vesting on June 30, 2022, the third installment vesting on September 30, 2022, and the fourth installment vesting on December 31, 2022. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 20:27 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | ConversionSeries A Preferred Stock · Derivative | 10,565,238 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-089437 · tm2121485-3_4seq1.xml · derivative · entry 4 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Parnters X, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,401,544 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F1 · price: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his or her proportionate pecuniary interest therein. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 20:27 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | PurchaseCommon Stock | 357,142 | $14.00 | $4,999,988.00 |
DisclosureSEC source: 0001104659-21-089437 · tm2121485-3_4seq1.xml · nonDerivative · entry 2 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,758,686 F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his or her proportionate pecuniary interest therein. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 20:27 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | ConversionCommon Stock | 3,401,544 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-089437 · tm2121485-3_4seq1.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 3,401,544 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.1060103 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his or her proportionate pecuniary interest therein. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 20:27 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 2,467 | $11.15 Strike: $19.41 | $27,499.65 |
DisclosureSEC source: 0001104659-21-089437 · tm2121485-3_4seq1.xml · derivative · entry 3 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,467 Underlying: Common Stock · 2,467 shares Expires 2031-06-30 F3 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in two equal installments, with the first installment vesting on September 30, 2021 and the second installment vesting on December 31, 2021. F3 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in two equal installments, with the first installment vesting on September 30, 2021 and the second installment vesting on December 31, 2021. Read SEC document |
| June 29, 2021 Filed Jul 1, 2021 22:34 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001104659-21-088384 · tm2121189-7_4seq1.xml · derivative · entry 3 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2031-06-28 F4 · derivative.exercise_date: This option shall vest and become exercisable in 36 substantially equal monthly installments, with the first installment vesting on July 29, 2021. Read SEC document |
| June 04, 2021 Filed Jul 1, 2021 22:34 UTC | Jade Biosciences, Inc. AVTE · Entity 4757 | GrantSeries A Preferred Stock · Derivative | 8,082,190 | $1.89 | $15,299,585.67 |
DisclosureSEC source: 0001104659-21-088384 · tm2121189-7_4seq1.xml · derivative · entry 2 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sofinnova Venture Partners X, L.P. Disclosed balance after: 10,565,238 Underlying: Common Stock · 2,602,112 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.1060103 basis. Upon the closing of the Issuer's initial public offering, all shares of Preferred Stock will automatically convert into the number of shares of Common Stock of the Issuer shown in column 7. The Preferred Stock has no expiration date. F2 · kind: This transaction occurred prior to the Issuer's initial public offering, and is being reported on Form 4 solely for purposes of compliance with Rule 16a-2(a) under the Securities Exchange Act of 1934, as amended. The securities covered by such transaction were previously included on the Reporting Person's Form 3. F1 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.1060103 basis. Upon the closing of the Issuer's initial public offering, all shares of Preferred Stock will automatically convert into the number of shares of Common Stock of the Issuer shown in column 7. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.1060103 basis. Upon the closing of the Issuer's initial public offering, all shares of Preferred Stock will automatically convert into the number of shares of Common Stock of the Issuer shown in column 7. The Preferred Stock has no expiration date. F3 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy and Maha Katabi are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his or her proportionate pecuniary interest therein. Read SEC document |
| May 18, 2021 Filed May 18, 2021 20:17 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | ConversionSeries C Preferred Stock · Derivative | 2,187,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-033812 · doc4.xml · derivative · entry 3 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 2,187,504 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C Preferred Stock automatically converted into Class A Common Stock on a 11.5869:1 basis (on an adjusted basis, after giving effect to the reverse stock split of the Class A Common Stock effected by the Issuer on May 7, 2021) and had no expiration date. F1 · derivative.exercise_date: The Series C Preferred Stock automatically converted into Class A Common Stock on a 11.5869:1 basis (on an adjusted basis, after giving effect to the reverse stock split of the Class A Common Stock effected by the Issuer on May 7, 2021) and had no expiration date. F1 · derivative.expiration_date: The Series C Preferred Stock automatically converted into Class A Common Stock on a 11.5869:1 basis (on an adjusted basis, after giving effect to the reverse stock split of the Class A Common Stock effected by the Issuer on May 7, 2021) and had no expiration date. F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| May 18, 2021 Filed May 18, 2021 20:17 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | PurchaseClass A Common Stock | 727,272 | $11.00 | $7,999,992.00 |
DisclosureSEC source: 0001209191-21-033812 · doc4.xml · nonDerivative · entry 2 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,914,776 F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| May 18, 2021 Filed May 18, 2021 20:17 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | ConversionClass A Common Stock | 2,187,504 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-033812 · doc4.xml · nonDerivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,187,504 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C Preferred Stock automatically converted into Class A Common Stock on a 11.5869:1 basis (on an adjusted basis, after giving effect to the reverse stock split of the Class A Common Stock effected by the Issuer on May 7, 2021) and had no expiration date. F2 · ownership.nature: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| May 13, 2021 Filed May 17, 2021 20:40 UTC | Vera Therapeutics, Inc. VERA · Entity 4358 | GrantStock Option (right to buy) · Derivative | 9,925 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001209191-21-033347 · doc4.xml · derivative · entry 1 Katabi Maha · CIK 0001720685 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,925 Underlying: Class A Common Stock · 9,925 shares Expires 2031-05-12 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of May 13, 2022 or the 2022 annual meeting of stockholders. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 23:04 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-2 Preferred Stock · Derivative | 1,200,228 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-016806 · tm215893d1_4.xml · derivative · entry 5 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,200,228 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 23:04 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-1 Preferred Stock · Derivative | 1,104,209 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-016806 · tm215893d1_4.xml · derivative · entry 4 Sofinnova Venture Partners X, L.P. · CIK 0001680200 · 10% owner Sofinnova Management X, L.L.C. · CIK 0001680194 · 10% owner Katabi Maha · CIK 0001720685 · 10% owner POWELL MICHAEL · CIK 0001202793 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,104,209 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F1 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F1 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2 · ownership.direct: The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate 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.