organization · Reporting owner
NMSIC Co-Investment Fund, L.P.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EXAGEN INC.XGN · Entity 935 | 10% owner | March 25, 2025 | March 27, 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.
EXAGEN INC.
Report date March 25, 2025 · Filed March 27, 2025
Jointly reported with Sun Mountain Capital Partners LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,758,958 |
Reported balance
After 2025-03-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-03-25 · Sale · Disposed 350,000 · Balance 1,758,958 F1: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC.
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 |
|---|---|---|---|---|---|---|
| March 25, 2025 Filed Mar 27, 2025 20:15 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 350,000 | $3.30 | $1,155,000.00 |
DisclosureSEC source: 0001140361-25-010700 · form4.xml · nonDerivative · entry 1 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,758,958 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC. Read SEC document |
| November 20, 2024 Filed Nov 27, 2024 21:18 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 200,000 | $3.30 | $660,040.00 |
DisclosureSEC source: 0001140361-24-047978 · form4.xml · nonDerivative · entry 1 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,108,958 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC. Read SEC document |
| December 15, 2020 Filed Dec 16, 2020 21:35 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 125,000 | $12.00 | $1,500,562.50 |
DisclosureSEC source: 0001209191-20-063805 · doc4.xml · nonDerivative · entry 1 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,308,958 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 21:00 UTC | EXAGEN INC. XGN · Entity 935 | SaleCommon Stock | 126,404 | $12.50 | $1,580,050.00 |
DisclosureSEC source: 0001209191-20-049452 · doc4.xml · nonDerivative · entry 1 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,433,958 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC"). Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 53,054,485 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 13 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 288,913 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. F12 · derivative.exercise_price: Includes 448,921 and 672,308 shares of common stock underlying the Series E shares held by NMSIC and NMSIC Focused, respectively. F14 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F14 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F14 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 112,958,220 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 12 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 615,123 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. F11 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 64,239,884 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 11 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,121,230 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. F9 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F12 · ownership.nature: Includes 448,921 and 672,308 shares of common stock underlying the Series E shares held by NMSIC and NMSIC Focused, respectively. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries D Redeemable Convertible Preferred Stock · Derivative | 3,373,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 10 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 58,882 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. F8 · derivative.exercise_price: Represents securities held of record by NMSIC. F10 · price: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 8,081,136 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 9 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 141,046 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 607,168 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 8 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 3,306 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Represents warrants that previously entitled the holders to purchase Series E Redeemable Convertible Preferred Stock, which, pursuant to their terms, were settled in shares of the Issuer's Common Stock. F7 · price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionCommon Stock | 2,228,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · nonDerivative · entry 4 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,560,362 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 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | OtherWarrants · Derivative | 19,825 | $14.32 Strike: $14.32 | $283,963.39 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 7 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 19,825 shares Expires not disclosed F4 · derivative.exercise_date: The warrants are currently exercisable and will terminate upon closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The warrants are currently exercisable and will terminate upon closing of the Issuer's initial public offering. F5 · derivative.underlying_shares: Represents warrants that previously entitled the holders to purchase Series E Redeemable Convertible Preferred Stock, which, pursuant to their terms, were settled in shares of the Issuer's Common Stock. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionWarrants · Derivative | 69,696 | $1.84 Strike: $1.84 | $128,240.64 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 6 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 69,696 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_date: The warrants are currently exercisable and will expire on March 31, 2026. F3 · derivative.expiration_date: The warrants are currently exercisable and will expire on March 31, 2026. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | ConversionWarrants · Derivative | 280,127 | $1.84 Strike: $1.84 | $515,433.68 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 5 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 280,127 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The warrants are currently exercisable and will expire on January 19, 2026. F2 · derivative.expiration_date: The warrants are currently exercisable and will expire on January 19, 2026. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | Tax withholdingCommon Stock | 49,860 | $18.58 | $926,398.80 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · nonDerivative · entry 3 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 331,862 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | OtherCommon Stock | 19,825 | $14.32 | $283,963.39 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · nonDerivative · entry 2 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 381,722 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. Read SEC document |
| September 19, 2019 Filed Sep 24, 2019 01:45 UTC | EXAGEN INC. XGN · Entity 935 | OtherCommon Stock | 349,823 | $1.84 | $643,674.32 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · nonDerivative · entry 1 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 361,897 F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. 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.