Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aquestive Therapeutics, Inc.AQST · Entity 5276 | 10% owner | December 02, 2024 | December 04, 2024 |
| MIDWEST HOLDING INC.MDWT · Entity 95904 | Director · 10% owner | June 14, 2022 | June 16, 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.
Aquestive Therapeutics, Inc.
Report date December 02, 2024 · Filed December 04, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 199,841 |
Reported balance
After 2024-12-02 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-12-02 · Gift · Disposed 40,000 · Balance 199,841 F1: These shares of common stock of Aquestive Therapeutics, Inc. (the "Issuer") are held by family trusts and entities controlled by Douglas K. Bratton. Such shares of common stock were acquired in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,727 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 2,727 F9: These shares of common stock of the Issuer are held by Douglas K. Bratton's spouse. Such shares of common stock were acquired by Douglas K. Bratton's spouse in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 12,585 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 12,585 |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,688,639 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,688,639 F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F4: These shares of common stock of the Issuer are beneficially owned by Monoline Rx. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,468,747 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 3,468,747 F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F5: These shares of common stock of the Issuer are beneficially owned by Monoline II. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,657,943 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 2,657,943 F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F6: These shares of common stock of the Issuer are beneficially owned by Monoline III. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 47,051 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 47,051 F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F7: These shares of common stock of the Issuer are beneficially owned by MonoSol Rx Genpar, L.P. ("Monosol"). Bratton is the general partner of Monosol. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by Monosol. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,948,578 |
Reported balance
Holding disclosure · report date 2024-12-02 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 1,948,578 F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F8: These shares of common stock of the Issuer are beneficially owned by Monoline. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock of Aquestive Therapeutics, Inc. (the "Issuer") are held by family trusts and entities controlled by Douglas K. Bratton. Such shares of common stock were acquired in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest.
F2: These shares of common stock of the Issuer are beneficially owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities.
F3: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares beneficially owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol (as defined below). Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein.
F4: These shares of common stock of the Issuer are beneficially owned by Monoline Rx.
F5: These shares of common stock of the Issuer are beneficially owned by Monoline II.
F6: These shares of common stock of the Issuer are beneficially owned by Monoline III.
F7: These shares of common stock of the Issuer are beneficially owned by MonoSol Rx Genpar, L.P. ("Monosol"). Bratton is the general partner of Monosol. Douglas K. Bratton is the sole director and President of Bratton and has voting and investment power over all shares held by Monosol.
F8: These shares of common stock of the Issuer are beneficially owned by Monoline.
F9: These shares of common stock of the Issuer are held by Douglas K. Bratton's spouse. Such shares of common stock were acquired by Douglas K. Bratton's spouse in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest.
MIDWEST HOLDING INC.
Report date June 14, 2022 · Filed June 16, 2022
Jointly reported with CRESTLINE ASSURANCE HOLDINGS LLC, Crestline Management, L.P., Crestline Investors, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | IndirectSee Footnote | 447,845 |
Reported balance
After 2022-06-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-06-14 · Grant · Acquired 2,674 · Balance 447,845 F1: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board.
F2: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance.
F3: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Denali Therapeutics Inc.
Report date February 12, 2021 · Filed February 17, 2021
Jointly reported with AKDL, L.P., Crestline SI (GP), L.P., Crestline Investors, Inc., Crestline Management, L.P.
Section 16 reporting ended · disclosed 2021-02-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy AKDL, L.P. | 9,984,836 |
Reported balance
After 2021-02-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-02-12 · Sale · Disposed 2,216,798 · Balance 9,984,836 F1: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Bratton Family Partners L.P. | 100,102 |
Reported balance
Holding disclosure · report date 2021-02-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 100,102 F3: These shares of common stock of the Issuer are held directly by Bratton Family Partners L.P., an entity controlled by Douglas K. Bratton. Such shares of common stock of the Issuer held by Bratton Family Partners L.P. were received in a previously reported pro rata in-kind distribution from Neuro Line Partners, L.P. without a change in pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL.
F2: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
F3: These shares of common stock of the Issuer are held directly by Bratton Family Partners L.P., an entity controlled by Douglas K. Bratton. Such shares of common stock of the Issuer held by Bratton Family Partners L.P. were received in a previously reported pro rata in-kind distribution from Neuro Line Partners, L.P. without a change in pecuniary interest.
Juno Therapeutics, Inc.
Report date July 13, 2017 · Filed July 17, 2017
Jointly reported with Crestline Investors, Inc., Crestline SI (GP), L.P., Crestline Management, L.P., CL Alaska, L.P.
Section 16 reporting ended · disclosed 2017-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy CL Alaska, L.P. | 9,166,130 |
Reported balance
After 2017-07-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-07-13 · Sale · Disposed 8,000,000 · Balance 9,166,130 F1: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share. F2: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015. F3: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy JT Line Partners LP | 182,669 |
Reported balance
Holding disclosure · report date 2017-07-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 182,669 F4: The shares of the Issuer reported in Column 5 are held directly by JT Line Partners LP ("JT"). The general partner of JT is Bratton Capital Management L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. JT is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of the shares of the Issuer held by JT, as well as a partial pecuniary interest in such shares. JT directly beneficially owns these shares of the Issuer. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to indirectly beneficially own the shares of the Issuer held by JT. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share.
F2: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015.
F3: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein.
F4: The shares of the Issuer reported in Column 5 are held directly by JT Line Partners LP ("JT"). The general partner of JT is Bratton Capital Management L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. JT is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of the shares of the Issuer held by JT, as well as a partial pecuniary interest in such shares. JT directly beneficially owns these shares of the Issuer. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to indirectly beneficially own the shares of the Issuer held by JT. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| December 02, 2024 Filed Dec 4, 2024 16:47 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | GiftCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-133320 · ownership.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 199,841 F1 · balance_after: These shares of common stock of Aquestive Therapeutics, Inc. (the "Issuer") are held by family trusts and entities controlled by Douglas K. Bratton. Such shares of common stock were acquired in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest. F1 · ownership.nature: These shares of common stock of Aquestive Therapeutics, Inc. (the "Issuer") are held by family trusts and entities controlled by Douglas K. Bratton. Such shares of common stock were acquired in previously reported in-kind pro rata distributions for no consideration without a change in pecuniary interest. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 16:07 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantVoting Common Stock | 2,674 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-022799 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 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: 447,845 F1 · kind: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 11, 2021 Filed Nov 15, 2021 16:18 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantVoting Common Stock | 727 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-044580 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 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: 445,171 F1 · kind: On November 11, 2021, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 727 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2) The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 1,783,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 6 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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: 1,948,578 F9 · kind: Shares of Common Stock acquired through pro rata distribution for no consideration by MRX Partners. F2 · ownership.nature: These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F10 · ownership.nature: These securities are beneficially owned by MonoLine. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 2,249,077 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 5 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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 F1 · kind: Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes. F2 · ownership.nature: These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F8 · ownership.nature: These securities are beneficially owned by MRX Partners. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 40,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 4 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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: 47,051 F1 · kind: Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F7 · ownership.nature: These securities are beneficially owned by MonoSol Rx Genpar, L.P. ("Monosol"). Bratton is the general partner of Monosol. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by Monosol. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 97,598 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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: 2,657,943 F1 · kind: Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes. F2 · ownership.nature: These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F6 · ownership.nature: These securities are beneficially owned by Monoline III. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 564,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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: 3,468,747 F1 · kind: Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes. F2 · ownership.nature: These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F5 · ownership.nature: These securities are beneficially owned by Monoline II. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | OtherCommon Stock | 524,675 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 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: 1,688,639 F1 · kind: Pro rata distribution for no consideration of shares of common stock of the Issuer ("Common Stock") by the applicable MonoLine Entity or Monosol (each as defined below), as indicated in the respective footnotes. F2 · ownership.nature: These securities are owned, as indicated, by MonoLine Partners, L.P. ("MonoLine"), MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities" and each individually a "Monoline Entity". Bratton Capital Management, L.P. ("Bratton Capital Management") is the manager of MRX Partners and general partner of each of the other Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director and President of Bratton and has voting and investment power over all shares held by the Monoline Entities. F3 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. F4 · ownership.nature: These securities are beneficially owned by Monoline Rx. Read SEC document |
| March 09, 2021 Filed Mar 16, 2021 20:20 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | GiftCommon Stock | 62,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 7 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner MonoLine Partners, L.P. · CIK 0001747211 · 10% owner MonoLine RX, L.P. · CIK 0001410626 · 10% owner MonoLine RX II, L.P. · CIK 0001410625 · 10% owner MonoLine RX III, L.P. · CIK 0001747169 · 10% owner MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner MRX Partners, LLC · CIK 0001746904 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,585 F11 · kind: Gift of shares of Common Stock to charitable organization. F12 · balance_after: Following the transactions reported on this Form 4, the Reporting Persons as listed in this Form 4 are the beneficial owners in the aggregate of 10,060,657 shares of Common Stock for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, representing a 27.8% ownership interest in the Issuer based on total shares outstanding of 36,213,969 as of March 5, 2021, such shares outstanding as reported in the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2020. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 20:39 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 2,216,798 | $65.00 | $144,091,870.00 |
DisclosureSEC source: 0000899243-21-007016 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 9,984,836 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2 · ownership.nature: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:44 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | OtherCommon Stock | 383,411 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-035043 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 F1 · price: Represents a pro rata in-kind distribution of shares of common stock of Denali Therapeutics Inc. from Neuro Line Partners, L.P. ("Neuro Line") to limited partners of Neuro Line without consideration, including to an entity controlled by Douglas K. Bratton. F2 · ownership.nature: These shares of common stock of the Issuer were held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton had voting and investment power over all securities that were held by Neuro Line. F3 · ownership.nature: (Continued from footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may have been deemed to have had a pecuniary interest in a portion of the securities that were held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may have been deemed to have had a pecuniary interest in a portion of the securities that were held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each have been deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 14, 2020 Filed Dec 15, 2020 21:47 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 876 | $81.13 | $71,068.22 |
DisclosureSEC source: 0000899243-20-033903 · doc4.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 383,411 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.115 to $81.18, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 14, 2020 Filed Dec 15, 2020 21:47 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 16,949 | $80.35 | $1,361,774.18 |
DisclosureSEC source: 0000899243-20-033903 · doc4.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 384,287 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.10 to $80.99, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 11, 2020 Filed Dec 15, 2020 21:47 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 46,799 | $80.05 | $3,746,442.47 |
DisclosureSEC source: 0000899243-20-033903 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 401,236 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.83 to $80.31, inclusive. The reporting persons undertake to provide to Denali Therapeutics Inc. (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 ranges set forth in footnotes (1), (4) and (5) to this Form 4. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 16:50 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 1,443,247 | $31.65 | $45,678,767.55 |
DisclosureSEC source: 0000899243-20-022430 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 12,201,634 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. F2 · ownership.nature: (Continued from footnote 1) Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 21:15 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.05 | $0.00 |
DisclosureSEC source: 0000899243-20-021314 · doc4.xml · derivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 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: 50,000 Underlying: Voting Common Stock · 50,000 shares Expires 2020-07-31 F1 · shares: Non-Qualified Stock Options granted under the Midwest Holding Inc. 2019 Long-Term Incentive Plan to Douglas K. Bratton for his service on the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer"). The Non-Qualified Stock Options vest as follows: (i) 25,000 Options shall vest on July 31, 2022; and (ii) 25,000 Options shall vest on July 31, 2024, in each case subject to Mr. Bratton's continued service on the Issuer's Board. F1 · derivative.exercise_date: Non-Qualified Stock Options granted under the Midwest Holding Inc. 2019 Long-Term Incentive Plan to Douglas K. Bratton for his service on the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer"). The Non-Qualified Stock Options vest as follows: (i) 25,000 Options shall vest on July 31, 2022; and (ii) 25,000 Options shall vest on July 31, 2024, in each case subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the Options reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such Options. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the Options through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 200 | $24.34 | $4,868.00 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 6 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 448,035 F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 30, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 45,145 | $24.01 | $1,083,732.81 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 5 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 448,235 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.34 to $24.33, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 29, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 20,771 | $24.50 | $508,974.66 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 4 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 493,380 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.36 to $24.76, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 29, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 61,807 | $23.84 | $1,473,398.53 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 514,151 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.36 to $24.355, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 26, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 13,604 | $24.67 | $335,636.53 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 575,958 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.49 to $24.91, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 26, 2020 Filed Jun 30, 2020 23:17 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 108,473 | $23.84 | $2,586,441.06 |
DisclosureSEC source: 0000899243-20-018024 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 589,562 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.485 to $24.48, inclusive. The reporting persons undertake to provide to Denali Therapeutics Inc. (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 ranges set forth in footnotes (1), (4), (5), (6) and (7) to this Form 4. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 3,247 | $26.19 | $85,027.89 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 6 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 698,035 F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.105 to $26.32, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 16,777 | $25.69 | $430,940.73 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 5 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 701,282 F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.09 to $26.085, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 24,683 | $25.12 | $619,960.44 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 4 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 718,059 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.94 to $25.34, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 65,373 | $24.66 | $1,611,941.28 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 742,742 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.94 to $24.93, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 62,439 | $25.00 | $1,560,850.12 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 808,115 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.61 to $25.60, inclusive. F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 21:41 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 82,481 | $24.20 | $1,995,652.54 |
DisclosureSEC source: 0000899243-20-017498 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 870,554 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.61 to $24.60, inclusive. The reporting persons undertake to provide to Denali Therapeutics Inc. (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 ranges set forth in footnotes (1), (4), (5), (6), (7) and (8). F2 · ownership.nature: These shares of common stock of the Issuer are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 16:05 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | GrantStock Option (Right to Purchase) · Derivative | 14,000 | $0.00 Strike: $5.30 | $0.00 |
DisclosureSEC source: 0001214659-20-005756 · marketforms-49050.xml · derivative · entry 8 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2030-06-16 F9 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Bratton's continuous service with the Issuer from the grant date through the applicable vesting date. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 16:10 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 1,922,855 | $25.75 | $49,513,516.25 |
DisclosureSEC source: 0000899243-20-015779 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 13,644,881 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. F2 · ownership.nature: (Continued in footnote 1) Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| February 26, 2020 Filed Feb 28, 2020 16:25 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 3,894,764 | $20.25 | $78,868,971.00 |
DisclosureSEC source: 0000899243-20-006252 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 15,567,736 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2 · ownership.nature: (continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 16:46 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | GrantStock Option (Right to Purchase) · Derivative | 13,350 | $0.00 Strike: $4.38 | $0.00 |
DisclosureSEC source: 0001214659-19-004243 · marketforms-45219.xml · derivative · entry 8 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,350 Underlying: Common Stock · 13,350 shares Expires 2029-06-13 F9 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 13, 2020, subject to Mr. Bratton's continuous service with the Issuer from the grant date through the applicable vesting date. Read SEC document |
| March 25, 2019 Filed Apr 10, 2019 01:27 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | OtherCommon Stock | 158,764 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-010426 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 953,035 F1 · price: Pro rata in-kind distribution of shares of common stock, par value $0.01 per share, (the "Common Stock") of Denali Therapeutics Inc. from Neuro Line Partners, L.P. ("Neuro Line") to limited partners of Neuro Line without consideration. F2 · ownership.nature: The shares of Common Stock reported in Column 5 are held directly by Neuro Line. The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. F3 · ownership.nature: (Continued from Footnote 2) Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 26, 2018 14:59 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | PurchaseCommon Stock | 165,000 | $15.00 | $2,475,000.00 |
DisclosureSEC source: 0000897423-18-000055 · edgar.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner Monoline Partners, L.P. · CIK 0001747211 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 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: 165,000 F1 · ownership.nature: These securities are beneficially owned by MonoLine Partners, L.P. ("MonoLine"). F2 · ownership.nature: These securities are owned, as indicated, by MonoLine, MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director of Bratton and has voting and investment power over all shares held by the Monoline Entities. F8 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 24, 2018 Filed Jul 26, 2018 21:08 UTC | Aquestive Therapeutics, Inc. AQST · Entity 5276 | GrantStock Option (Right to Purchase) · Derivative | 26,700 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001140361-18-033739 · form4.xml · derivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,700 Underlying: Common Stock · 26,700 shares Expires 2028-07-24 F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Mr. Bratton's continuous service with the Issuer from the grant date through the applicable vesting date. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 240,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 13 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 240,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.exercise_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.expiration_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 128,200 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 12 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 128,200 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_price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.exercise_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.expiration_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 743,599 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 11 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 743,599 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: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.exercise_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.expiration_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 1,875,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 10 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,875,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.exercise_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.expiration_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 2,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 9 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,500,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.exercise_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.expiration_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 14,499,999 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 8 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 14,499,999 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: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.exercise_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.expiration_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | PurchaseCommon Stock | 275,000 | $18.00 | $4,950,000.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 7 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 19,462,499 F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 240,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 6 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 1,111,799 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 128,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 5 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 871,799 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 · price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 743,599 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 4 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 743,599 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: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 1,875,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 19,187,499 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 2,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 17,312,499 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 · price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 14,499,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 14,812,499 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: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 17:48 UTC | Juno Therapeutics, Inc. JUNO · Entity 168572 | SaleCommon Stock | 8,000,000 | $27.00 | $216,000,000.00 |
DisclosureSEC source: 0000899243-17-018338 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner CL Alaska, L.P. · CIK 0001626595 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By CL Alaska, L.P. Disclosed balance after: 9,166,130 F1 · shares: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share. F2 · ownership.nature: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015. F3 · ownership.nature: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective 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.