Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clearside Biomedical, Inc.CLSD · Entity 82875 | Director | February 24, 2025 | February 24, 2025 |
| G1 Therapeutics, Inc.GTHX · Entity 87413 | 10% owner | May 30, 2018 | June 01, 2018 |
| PhaseBio Pharmaceuticals IncPHAS · Entity 113305 | Director | May 19, 2023 | May 19, 2023 |
| Vigil Neuroscience, Inc.VIGL · Entity 11675 | Director | May 16, 2022 | May 17, 2022 |
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.
Clearside Biomedical, Inc.
Report date February 24, 2025 · Filed February 24, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 176,141 |
Reported balance
After 2025-02-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-02-24 · Purchase · Acquired 15,000 · Balance 176,141 F1: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.9321 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 purchased at each separate price within the range set forth in this footnote. F2: Includes an aggregate of 120,619 shares received as a pro rata distribution from Hatteras Venture Advisors III, LLC, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Advisors IV, LLC and Hatteras NC Fund, LP (the "Hatteras Entities"). In prior reports, the reporting person reported indirect beneficial ownership of 3,545,040 shares of the Issuer's common stock held by the Hatteras Entities. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.9321 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 purchased at each separate price within the range set forth in this footnote.
F2: Includes an aggregate of 120,619 shares received as a pro rata distribution from Hatteras Venture Advisors III, LLC, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Advisors IV, LLC and Hatteras NC Fund, LP (the "Hatteras Entities"). In prior reports, the reporting person reported indirect beneficial ownership of 3,545,040 shares of the Issuer's common stock held by the Hatteras Entities.
G1 Therapeutics, Inc.
Report date May 30, 2018 · Filed June 01, 2018
Jointly reported with Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Partners IV SBIC, LP, INGRAM ROBERT ALEXANDER, Crumpler John, LEE KENNETH B JR, Reed Douglas MD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,279,421 |
Reported balance
After 2018-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-30 · Sale · Disposed 758,290 · Balance 3,279,421 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,237,711 |
Reported balance
After 2018-05-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-05-30 · Sale · Disposed 41,710 · Balance 3,237,711 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC. F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV. |
Filing footnotes · ownership attribution and instrument terms
F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC.
F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV.
PhaseBio Pharmaceuticals Inc
Report date May 19, 2023 · Filed May 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 36,693 |
Reported balance
After 2023-05-19 transaction · row 1
1 source rowRow 1 · 2023-05-19 · Exercise / conversion · Acquired 3,750 · Balance 36,693 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-05-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-05-19 · Exercise / conversion · Acquired 3,750 · Balance 0 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. F4: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,545,040 |
Reported balance
Holding disclosure · report date 2023-05-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,545,040 F2: The Reporting Person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("Hatteras NC"). HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. F3: The Reporting Person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock.
F2: The Reporting Person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("Hatteras NC"). HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC.
F3: The Reporting Person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
F4: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date.
Vigil Neuroscience, Inc.
Report date May 16, 2022 · Filed May 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Hatteras Venture Partners VI, L.P. | 1,556,030 |
Last balance in matching sequence
After 2022-05-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-16 · Purchase · Acquired 21,802 · Balance 1,541,137 F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.50 to $2.85, 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 purchased at each separate price at which the transactions were effected. F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Row 2 · 2022-05-17 · Purchase · Acquired 14,893 · Balance 1,556,030 F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.76 to $3.10, 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 purchased at each separate price at which the transactions were effected. F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 3,000 |
Reported balance
Holding disclosure · report date 2022-05-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 3,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.50 to $2.85, 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 purchased at each separate price at which the transactions were effected.
F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any.
F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.76 to $3.10, 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 purchased at each separate price at which the transactions were effected.
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 |
|---|---|---|---|---|---|---|
| February 24, 2025 Filed Feb 24, 2025 22:52 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | PurchaseCommon Stock | 15,000 | $0.92 | $13,800.00 |
DisclosureSEC source: 0001415889-25-005325 · form4-02242025_100255.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 176,141 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.9321 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 purchased at each separate price within the range set forth in this footnote. F2 · balance_after: Includes an aggregate of 120,619 shares received as a pro rata distribution from Hatteras Venture Advisors III, LLC, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Advisors IV, LLC and Hatteras NC Fund, LP (the "Hatteras Entities"). In prior reports, the reporting person reported indirect beneficial ownership of 3,545,040 shares of the Issuer's common stock held by the Hatteras Entities. Read SEC document |
| June 20, 2024 Filed Jun 21, 2024 20:15 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $1.15 | $0.00 |
DisclosureSEC source: 0001415889-24-017821 · form4-06212024_040607.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2034-06-19 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 20, 2025, subject to the Reporting Person's continuous service as of such vesting date. Read SEC document |
| September 25, 2023 Filed Sep 25, 2023 20:34 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | PurchaseCommon Stock | 10,000 | $0.86 | $8,600.00 |
DisclosureSEC source: 0001209191-23-050480 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,522 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8549 to $0.8595 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 22, 2023 Filed Jun 23, 2023 20:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0001209191-23-039427 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2033-06-21 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2024, subject to the Reporting Person's continuous service as of such vesting date. Read SEC document |
| May 19, 2023 Filed May 19, 2023 16:18 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | Exercise / conversionRestricted Stock Units · Derivative | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001169245-23-000032 · wf-form4_168452749044967.xml · derivative · entry 3 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,750 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 Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. F4 · derivative.exercise_date: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date. F4 · derivative.expiration_date: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date. Read SEC document |
| May 19, 2023 Filed May 19, 2023 16:18 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | Exercise / conversionCommon Stock | 3,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001169245-23-000032 · wf-form4_168452749044967.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,693 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 Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. Read SEC document |
| December 21, 2022 Filed Dec 21, 2022 21:26 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | PurchaseCommon Stock | 14,000 | $1.02 | $14,266.00 |
DisclosureSEC source: 0001209191-22-062338 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,522 Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 00:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | OtherCommon Stock | 8,522 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-062045 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,522 F1 · kind: Represents a pro rata distribution, and not a purchase or sale of securities, by Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HVA III") to its general partners and limited partners without additional consideration. Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 00:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | OtherCommon Stock | 1,406,507 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-062045 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,545,040 F1 · kind: Represents a pro rata distribution, and not a purchase or sale of securities, by Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HVA III") to its general partners and limited partners without additional consideration. F2 · ownership.nature: The Reporting Person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("Hatteras NC"). HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| June 22, 2022 Filed Jun 24, 2022 20:21 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001209191-22-039220 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2032-06-21 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2023. Read SEC document |
| May 19, 2022 Filed May 20, 2022 16:46 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantRestricted Stock Units · Derivative | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001169245-22-000065 · wf-form4_165307954416772.xml · derivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750 Underlying: Common Stock · 3,750 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. F3 · derivative.exercise_date: The RSUs shall vest and be delivered to the Reporting Person on the earlier of the one-year anniversary of the grant date or the 2023 annual stockholder meeting, subject to the Reporting Person's continuous service through such date. F3 · derivative.expiration_date: The RSUs shall vest and be delivered to the Reporting Person on the earlier of the one-year anniversary of the grant date or the 2023 annual stockholder meeting, subject to the Reporting Person's continuous service through such date. Read SEC document |
| May 19, 2022 Filed May 20, 2022 16:46 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantNon-employee Director Stock Option (right to buy) · Derivative | 17,500 | $0.00 Strike: $0.84 | $0.00 |
DisclosureSEC source: 0001169245-22-000065 · wf-form4_165307954416772.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2032-05-18 F1 · derivative.exercise_date: The shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the 2023 annual stockholder meeting, subject to the Reporting Person's continuous service through such date. Read SEC document |
| May 17, 2022 Filed May 17, 2022 21:06 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | PurchaseCommon Stock | 14,893 | $2.97 | $44,189.02 |
DisclosureSEC source: 0000899243-22-018491 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 1,556,030 F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.76 to $3.10, 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 purchased at each separate price at which the transactions were effected. F2 · ownership.nature: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 16, 2022 Filed May 17, 2022 21:06 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | PurchaseCommon Stock | 21,802 | $2.76 | $60,221.48 |
DisclosureSEC source: 0000899243-22-018491 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 1,541,137 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.50 to $2.85, 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 purchased at each separate price at which the transactions were effected. F2 · ownership.nature: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| March 28, 2022 Filed Mar 28, 2022 16:44 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | PurchaseCommon Stock | 3,000 | $7.20 | $21,604.20 |
DisclosureSEC source: 0000899243-22-012485 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.9163 to $7.469, 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 purchased at each separate price at which the transactions were effected. Read SEC document |
| January 11, 2022 Filed Jan 11, 2022 21:20 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | ConversionSeries B Preferred Stock · Derivative | 926,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001658 · doc4.xml · derivative · entry 4 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 334,092 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 and had no expiration date. F2 · ownership.nature: The shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| January 11, 2022 Filed Jan 11, 2022 21:20 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | ConversionSeries A Preferred Stock · Derivative | 2,552,021 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-001658 · doc4.xml · derivative · entry 3 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 920,243 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 and had no expiration date. F2 · ownership.nature: The shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| January 11, 2022 Filed Jan 11, 2022 21:20 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | PurchaseCommon Stock | 265,000 | $14.00 | $3,710,000.00 |
DisclosureSEC source: 0000899243-22-001658 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 1,519,335 F3 · price: On January 11, 2022, Hatteras VI purchased 265,000 shares of Common Stock of the Issuer at a price of $14.00 per share pursuant to an underwritten public offering. F2 · ownership.nature: The shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| January 11, 2022 Filed Jan 11, 2022 21:20 UTC | Vigil Neuroscience, Inc. VIGL · Entity 11675 | ConversionCommon Stock | 1,254,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-001658 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners VI, L.P. Disclosed balance after: 1,254,335 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 the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-2.7732 basis upon the closing of the Issuer's initial public offering on January 1, 2022 and had no expiration date. F2 · ownership.nature: The shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Read SEC document |
| August 18, 2021 Filed Aug 18, 2021 18:07 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | PurchaseCommon Stock | 10,000 | $3.00 | $30,000.00 |
DisclosureSEC source: 0001169245-21-000080 · wf-form4_162932441876756.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,943 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.97 to $3.03, 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 he number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 21:33 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $3.11 | $0.00 |
DisclosureSEC source: 0001209191-21-039951 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2031-06-09 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 10, 2022. Read SEC document |
| June 03, 2021 Filed Jun 4, 2021 18:03 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantNon-employee Director Stock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $3.53 | $0.00 |
DisclosureSEC source: 0001169245-21-000059 · wf-form4_162284422309457.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2031-06-03 F1 · derivative.exercise_date: The shares subject to the option shall vest upon the earlier of the one year anniversary of the grant date or the 2022 annual meeting, subject to the reporting person's continuous service through each such date Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:22 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 32,873 | $4.43 | $145,627.39 |
DisclosureSEC source: 0001209191-21-010259 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,433,521 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holders of the securities on March 16, 2020. F2 · shares: Consists of (i) 447 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 21,095 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 1,916 shares sold by Hatteras Venture Affiliates III, LP ("HVA III") and (iv) 9,415 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $4.40 to $4.50, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F4 · ownership.nature: The reporting person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of HVP IV and Hatteras NC. HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. F5 · ownership.nature: The reporting person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| February 10, 2021 Filed Dec 20, 2022 00:40 UTC Amendment | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 32,873 | $4.43 | $145,627.39 |
DisclosureSEC source: 0001209191-22-062044 · doc4a.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,951,547 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holders of the securities on March 16, 2020. F2 · shares: Consists of (i) 447 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 21,095 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 1,916 shares sold by Hatteras Venture Affiliates III, LP ("HVA III") and (iv) 9,415 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $4.40 to $4.50, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. F4 · balance_after: The original Form 4 inadvertently misstated the total number of shares. This reflect the accurate number of shares beneficially owned. Read SEC document |
| November 24, 2020 Filed Nov 24, 2020 16:04 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | PurchaseCommon Stock | 2,000 | $3.50 | $7,000.00 |
DisclosureSEC source: 0001169245-20-000107 · wf-form4_160625183199754.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,943 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.48 to $3.53, 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 purchased at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 16:04 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | PurchaseCommon Stock | 3,000 | $3.67 | $11,010.00 |
DisclosureSEC source: 0001169245-20-000107 · wf-form4_160625183199754.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,943 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.66 to $3.67, 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4 Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 19:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | OtherCommon Stock | 10,586 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-059250 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Catalysta Ventures, LLC Disclosed balance after: 15,432 F1 · kind: The transactions reported on this form represent a pro rata distribution, and not a purchase or sale of securities, by Hatteras Venture Partners I, LP to its respective general and limited partners or members without consideration. F3 · ownership.nature: The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta. The reporting person disclaims beneficial ownership of the securities held by Catalysta except to the extent of his pecuniary interest therein. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 19:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | OtherCommon Stock | 2,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-059250 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,943 F1 · kind: The transactions reported on this form represent a pro rata distribution, and not a purchase or sale of securities, by Hatteras Venture Partners I, LP to its respective general and limited partners or members without consideration. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 19:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | OtherCommon Stock | 52,397 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-059250 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners I, LP Disclosed balance after: 0 F1 · kind: The transactions reported on this form represent a pro rata distribution, and not a purchase or sale of securities, by Hatteras Venture Partners I, LP to its respective general and limited partners or members without consideration. F2 · ownership.nature: Catalysta Ventures, LLC ("Catalysta") is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta. The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The reporting person disclaims beneficial ownership of the securities held by Catalysta and HVP I except to the extent of his pecuniary interest therein. Read SEC document |
| June 18, 2020 Filed Jun 19, 2020 20:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001209191-20-037955 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2030-06-17 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 18, 2021. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 19:02 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantNon-employee Director Stock Option (right to buy) · Derivative | 16,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001169245-20-000069 · wf-form4_159139812354604.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option shall vest upon the earlier of the one year anniversary of the grant date or the 2021 annual meeting, subject to the reporting person's continuous service through each such date Read SEC document |
| November 22, 2019 Filed Nov 26, 2019 21:33 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantCommon Stock | 1,518,026 | $1.05 | $1,599,999.40 |
DisclosureSEC source: 0001209191-19-058129 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,984,420 F1 · ownership.nature: The reporting person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HVA III"); (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"); and (iii) Hatteras Venture Advisors IV, LLC, the general partner of Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("Hatteras NC"). HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 16:28 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 459 | $14.00 | $6,426.00 |
DisclosureSEC source: 0001209191-19-041112 · doc4.xml · nonDerivative · entry 4 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Venture Capital Multiplier Fund Disclosed balance after: 415,959 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (4), (5) and (6) below). F2 · price: The price reported in column 4 is a weighted average price. These shares were sold on multiple transactions at prices ranging from $14.00 to $14.01. 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. F6 · ownership.nature: Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by Multiplier Fund are indirectly held by HVA V. The reporting person is a manager of HVA V and may be deemed to share voting and dispositive power with regard to the securities held by Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 16:28 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 255 | $14.00 | $3,570.00 |
DisclosureSEC source: 0001209191-19-041112 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners I, LP Disclosed balance after: 52,397 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (4), (5) and (6) below). F2 · price: The price reported in column 4 is a weighted average price. These shares were sold on multiple transactions at prices ranging from $14.00 to $14.01. 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. F3 · balance_after: Amount has been adjusted to correct a de minimis clerical error in previous filings. F5 · ownership.nature: Catalysta Ventures, LLC ("Catalysta") is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta. The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The reporting person disclaims beneficial ownership of the securities held by Catalysta and HVP I except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 16:28 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 180 | $14.00 | $2,520.00 |
DisclosureSEC source: 0001209191-19-041112 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Affiliates III, LP Disclosed balance after: 162,890 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (4), (5) and (6) below). F2 · price: The price reported in column 4 is a weighted average price. These shares were sold on multiple transactions at prices ranging from $14.00 to $14.01. 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. F3 · balance_after: Amount has been adjusted to correct a de minimis clerical error in previous filings. F4 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HV Affiliates"). The securities held directly by HVP III and HV Affiliates are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III and HV Affiliates except to the extent of his pecuniary interest therein. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 16:28 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 2,014 | $14.00 | $28,196.00 |
DisclosureSEC source: 0001209191-19-041112 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners III, LP Disclosed balance after: 1,818,638 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (4), (5) and (6) below). F2 · price: The price reported in column 4 is a weighted average price. These shares were sold on multiple transactions at prices ranging from $14.00 to $14.01. 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. F3 · balance_after: Amount has been adjusted to correct a de minimis clerical error in previous filings. F4 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HV Affiliates"). The securities held directly by HVP III and HV Affiliates are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III and HV Affiliates except to the extent of his pecuniary interest therein. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 20:29 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.07 | $0.00 |
DisclosureSEC source: 0001209191-19-038772 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-06-19 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 20, 2020. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 19:09 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 63 | $14.00 | $882.00 |
DisclosureSEC source: 0001209191-19-038324 · doc4.xml · nonDerivative · entry 4 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Venture Capital Multiplier Fund Disclosed balance after: 416,418 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (2) and (4) below). F4 · ownership.nature: Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by Multiplier Fund are indirectly held by HVA V. The reporting person is a manager of HVA V and may be deemed to share voting and dispositive power with regard to the securities held by Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 19:09 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 35 | $14.00 | $490.00 |
DisclosureSEC source: 0001209191-19-038324 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners I, LP Disclosed balance after: 52,655 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (2) and (4) below). F3 · ownership.nature: Catalysta Ventures, LLC ("Catalysta") is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta. The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The reporting person disclaims beneficial ownership of the securities held by Catalysta and HVP I except to the extent of his pecuniary interest therein. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 19:09 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 25 | $14.00 | $350.00 |
DisclosureSEC source: 0001209191-19-038324 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Affiliates III, LP Disclosed balance after: 163,074 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (2) and (4) below). F2 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HV Affiliates"). The securities held directly by HVP III and HV Affiliates are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III and HV Affiliates except to the extent of his pecuniary interest therein. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 19:09 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | SaleCommon Stock | 277 | $14.00 | $3,878.00 |
DisclosureSEC source: 0001209191-19-038324 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners III, LP Disclosed balance after: 1,820,656 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by HVP III, HV Affiliates, HVP I and Multiplier Fund (each as defined in Footnotes (2) and (4) below). F2 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III") and Hatteras Venture Affiliates III, LP ("HV Affiliates"). The securities held directly by HVP III and HV Affiliates are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III and HV Affiliates except to the extent of his pecuniary interest therein. Read SEC document |
| May 09, 2019 Filed May 13, 2019 16:35 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantNon-employee Director Stock Option (right to buy) · Derivative | 11,000 | $0.00 Strike: $13.23 | $0.00 |
DisclosureSEC source: 0001209191-19-029351 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2029-05-09 F1 · derivative.exercise_date: The shares subject to the option shall vest upon the earlier of the one year anniversary of the grant date or the date of the 2020 annual meeting, subject to the reporting person's continuous service through each such date. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 17:02 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | GrantEmployee Stock Option (right to buy) · Derivative | 36,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-19-015076 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 36,000 shares Expires 2029-02-27 F1 · derivative.exercise_date: The shares subject to the option shall vest in equal monthly installments over 36 months from October 17, 2018, subject to the reporting person's continued service through each such date. Read SEC document |
| December 06, 2018 Filed Dec 6, 2018 22:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | PurchaseCommon Stock | 8,000 | $1.36 | $10,880.00 |
DisclosureSEC source: 0001209191-18-061355 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $1.3398 to $1.393, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 09:15 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | PurchaseCommon Stock | 4,000 | $3.13 | $12,520.00 |
DisclosureSEC source: 0001209191-18-061125 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,799 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.98 to $3.25, 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 purchased at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 16:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | ConversionSeries D Preferred Stock · Derivative | 226,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056051 · doc4.xml · derivative · entry 38 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Venture Capital Multiplier Fund Disclosed balance after: 0 Underlying: Common Stock · 226,061 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 Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 16:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | ConversionSeries D Preferred Stock · Derivative | 24,709 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056051 · doc4.xml · derivative · entry 37 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Affiliates III, LP Disclosed balance after: 0 Underlying: Common Stock · 24,709 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 Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 16:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | ConversionSeries D Preferred Stock · Derivative | 272,107 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056051 · doc4.xml · derivative · entry 36 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners III, LP Disclosed balance after: 0 Underlying: Common Stock · 272,107 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 Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 16:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | ConversionSeries C-1 Preferred Stock · Derivative | 40,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056051 · doc4.xml · derivative · entry 35 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Venture Capital Multiplier Fund Disclosed balance after: 0 Underlying: Common Stock · 40,420 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 Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 16:19 UTC | PhaseBio Pharmaceuticals Inc PHAS · Entity 113305 | ConversionSeries C-1 Preferred Stock · Derivative | 13,558 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056051 · doc4.xml · derivative · entry 34 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Affiliates III, LP Disclosed balance after: 0 Underlying: Common Stock · 13,558 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 Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. F3 · ownership.nature: Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his 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.