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Lichter Jay

Disclosed activity across 3 companies

Tapewire entity
86607
SEC CIK
0001376355

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
OTONOMY, INC.OTIC · Entity 116495DirectorJune 21, 2022June 23, 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.

OTONOMY, INC.

Report date June 21, 2022 · Filed June 23, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2032-06-20Direct27,500 Reported balance After 2022-06-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-06-21 · Grant · Acquired 27,500 · Balance 27,500

F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Janux Therapeutics, Inc.

Report date September 13, 2024 · Filed October 24, 2024

Section 16 reporting ended · disclosed 2024-10-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect7,000 Ending reported balance After 2024-09-13 transaction · row 5
5 source rows · reconciled sequence

Row 1 · 2024-09-13 · Exercise / conversion · Acquired 1,868 · Balance 8,868

Row 2 · 2024-09-13 · Exercise / conversion · Acquired 778 · Balance 9,646

Row 3 · 2024-09-13 · Exercise / conversion · Acquired 778 · Balance 10,424

Row 4 · 2024-09-13 · Exercise / conversion · Acquired 391 · Balance 10,815

Row 5 · 2024-09-13 · Sale · Disposed 3,815 · Balance 7,000

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2027-07-19Direct27,138 Reported balance After 2024-09-13 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2024-09-13 · Exercise / conversion · Disposed 1,868 · Balance 27,138

F4: Immediately exercisable.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.73 · Expires 2027-07-19Direct11,308 Reported balance After 2024-09-13 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2024-09-13 · Exercise / conversion · Disposed 778 · Balance 11,308

F4: Immediately exercisable.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.22 · Expires 2027-07-19Direct11,308 Reported balance After 2024-09-13 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2024-09-13 · Exercise / conversion · Disposed 778 · Balance 11,308

F4: Immediately exercisable.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.80 · Expires 2027-07-19Direct7,682 Reported balance After 2024-09-13 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2024-09-13 · Exercise / conversion · Disposed 391 · Balance 7,682

F4: Immediately exercisable.

Common StockSEC Table I · non-derivativeIndirectBy Avalon Ventures XI, L.P.2,959,175 Reported balance Holding disclosure · report date 2024-09-13 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 2,959,175

F1: The securities are directly held by Avalon Ventures XI, L.P. ("Avalon Ventures"). Avalon Ventures XI GP, LLC ("Avalon XI GP") is the general partner of Avalon Ventures and may be deemed to beneficially own the securities held by Avalon Ventures. The Reporting Person is a managing member of Avalon XI GP and shares voting and investment power with respect to the securities held by Avalon Ventures. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Avalon BioVentures I, LP573,227 Reported balance Holding disclosure · report date 2024-09-13 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 573,227

F2: The securities are directly held by Avalon BioVentures I, LP ("ABV I"). Avalon BioVentures GP LLC ("ABV GP") is the general partner of ABV I and may be deemed to beneficially own the securities held by ABV I. The Reporting Person is a managing member of ABV GP and shares voting and investment power with respect to the securities held by ABV I. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Avalon BioVentures SPV I, L.P.3,021,414 Reported balance Holding disclosure · report date 2024-09-13 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 3,021,414

F3: The securities are directly held by Avalon BioVentures SPV I, LP ("ABV SPV"). ABV SPV I GP LLC ("ABV SPV GP") is the general partner of ABV SPV and may be deemed to beneficially own the securities held by ABV SPV. The Reporting Person is a managing member of ABV SPV GP and shares voting and investment power with respect to the securities held by ABV SPV. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The securities are directly held by Avalon Ventures XI, L.P. ("Avalon Ventures"). Avalon Ventures XI GP, LLC ("Avalon XI GP") is the general partner of Avalon Ventures and may be deemed to beneficially own the securities held by Avalon Ventures. The Reporting Person is a managing member of Avalon XI GP and shares voting and investment power with respect to the securities held by Avalon Ventures. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

F2: The securities are directly held by Avalon BioVentures I, LP ("ABV I"). Avalon BioVentures GP LLC ("ABV GP") is the general partner of ABV I and may be deemed to beneficially own the securities held by ABV I. The Reporting Person is a managing member of ABV GP and shares voting and investment power with respect to the securities held by ABV I. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

F3: The securities are directly held by Avalon BioVentures SPV I, LP ("ABV SPV"). ABV SPV I GP LLC ("ABV SPV GP") is the general partner of ABV SPV and may be deemed to beneficially own the securities held by ABV SPV. The Reporting Person is a managing member of ABV SPV GP and shares voting and investment power with respect to the securities held by ABV SPV. The Reporting Persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

F4: Immediately exercisable.

Synthorx, Inc.

Report date January 23, 2020 · Filed January 24, 2020

Section 16 reporting ended · disclosed 2020-01-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Avalon Ventures X, L.P.0 Reported balance After 2020-01-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2020-01-23 · Other · Disposed 150,000 · Balance 0

F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

Common StockSEC Table I · non-derivativeIndirectBy Avalon Ventures X GP, LLC0 Reported balance After 2020-01-23 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2020-01-23 · Other · Disposed 448,567 · Balance 0

F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

Common StockSEC Table I · non-derivativeIndirectBy Avalon X SPV I, L.P.0 Reported balance After 2020-01-23 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2020-01-23 · Other · Disposed 1,682,086 · Balance 0

F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.00 · Expires 2028-12-05Direct0 Reported balance After 2020-01-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-01-23 · Disposition to issuer · Disposed 30,000 · Balance 0

F2: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following December 6, 2018, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $1,710,000.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.40 · Expires 2029-06-06Direct0 Reported balance After 2020-01-23 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-01-23 · Disposition to issuer · Disposed 15,335 · Balance 0

F3: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following June 7, 2019, such that the option would be fully vested on the date of the Issuer's next annual stockholder meeting, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $852,626.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

F2: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following December 6, 2018, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $1,710,000.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

F3: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following June 7, 2019, such that the option would be fully vested on the date of the Issuer's next annual stockholder meeting, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $852,626.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 21, 2022 Filed Jun 23, 2022 16:34 UTC OTONOMY, INC. OTIC · Entity 116495 GrantStock Option (right to buy) · Derivative 27,500 $0.00 Strike: $1.95 $0.00
Disclosure

SEC source: 0001209191-22-038889 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2032-06-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Read SEC document
June 14, 2022 Filed Jun 16, 2022 20:31 UTC Janux Therapeutics, Inc. JANX · Entity 4864 GrantStock Option (right to buy) · Derivative 12,500 $0.00 Strike: $10.73 $0.00
Disclosure

SEC source: 0001209191-22-037428 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2032-06-13

F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the 12 months following June 14, 2022, provided that the option will in any case be fully vested on the date of the next annual meeting of the Company's stockholders.

Read SEC document
June 22, 2021 Filed Jun 24, 2021 17:02 UTC OTONOMY, INC. OTIC · Entity 116495 GrantStock Option (right to buy) · Derivative 17,500 $0.00 Strike: $2.18 $0.00
Disclosure

SEC source: 0001209191-21-043073 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2031-06-21

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionSeries B Convertible Preferred Stock · Derivative 900,264 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · derivative · entry 11

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,153,238 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F3 · ownership.nature: The shares are directly held by Avalon BioVentures SPV I, LP (ABV SPV). ABV SPV I GP LLC (ABV GP) is a general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV and as a result may be deemed to have beneficial ownership of such shares. Dr. Lichter shares voting and investment power with respect to the shares held by ABV SPV. Dr. Lichter disclaims beneficial ownership of all shares held by ABV SPV except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionSeries A Convertible Preferred Stock · Derivative 2,105,264 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · derivative · entry 10

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,696,843 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F3 · ownership.nature: The shares are directly held by Avalon BioVentures SPV I, LP (ABV SPV). ABV SPV I GP LLC (ABV GP) is a general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV and as a result may be deemed to have beneficial ownership of such shares. Dr. Lichter shares voting and investment power with respect to the shares held by ABV SPV. Dr. Lichter disclaims beneficial ownership of all shares held by ABV SPV except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionSeries A Convertible Preferred Stock · Derivative 526,316 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · derivative · entry 9

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 674,211 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionSeries Seed 2 Convertible Preferred Stock · Derivative 1,859,634 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · derivative · entry 8

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,382,191 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionSeries Seed Convertible Preferred Stock · Derivative 888,888 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · derivative · entry 7

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,138,665 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 PurchaseCommon Stock 629,411 $17.00 $10,699,987.00
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 6

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,479,492

F4 · kind: The shares were purchased in the Issuer's initial public offering.

F3 · ownership.nature: The shares are directly held by Avalon BioVentures SPV I, LP (ABV SPV). ABV SPV I GP LLC (ABV GP) is a general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV and as a result may be deemed to have beneficial ownership of such shares. Dr. Lichter shares voting and investment power with respect to the shares held by ABV SPV. Dr. Lichter disclaims beneficial ownership of all shares held by ABV SPV except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionCommon Stock 1,153,238 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 5

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,850,081

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F3 · ownership.nature: The shares are directly held by Avalon BioVentures SPV I, LP (ABV SPV). ABV SPV I GP LLC (ABV GP) is a general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV and as a result may be deemed to have beneficial ownership of such shares. Dr. Lichter shares voting and investment power with respect to the shares held by ABV SPV. Dr. Lichter disclaims beneficial ownership of all shares held by ABV SPV except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionCommon Stock 2,696,843 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 4

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,696,843

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F3 · ownership.nature: The shares are directly held by Avalon BioVentures SPV I, LP (ABV SPV). ABV SPV I GP LLC (ABV GP) is a general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV and as a result may be deemed to have beneficial ownership of such shares. Dr. Lichter shares voting and investment power with respect to the shares held by ABV SPV. Dr. Lichter disclaims beneficial ownership of all shares held by ABV SPV except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionCommon Stock 674,211 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 3

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,387,217

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionCommon Stock 2,382,191 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,713,006

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 22:05 UTC Janux Therapeutics, Inc. JANX · Entity 4864 ConversionCommon Stock 1,138,665 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-041038 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,330,815

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series Seed Convertible Preferred Stock, Series Seed 2 Convertible Preferred Stock, Series A Convertible Preferred Stock and Series B Convertible Preferred Stock (collectively, the "Preferred Stock") converted into 1.281 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. Share numbers give effect to such conversion. The Preferred Stock had no expiration date.

F2 · ownership.nature: The shares are directly held by Avalon Ventures XI, L.P. (Avalon Ventures). Avalon Ventures XI GP LLC (Avalon XI GP) is general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter is a managing member of Avalon XI GP and shares voting and investment power with respect to the shares held by Avalon Ventures. Dr. Lichter disclaims beneficial ownership of all shares held by Avalon Ventures except to the extent of his actual pecuniary interest therein, if any.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 21:37 UTC Janux Therapeutics, Inc. JANX · Entity 4864 GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-21-040293 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-06-09

F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the 36 months following June 10, 2021.

Read SEC document
March 03, 2021 Filed Mar 3, 2021 20:06 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 113,935 $2.70 $307,396.63
Disclosure

SEC source: 0001209191-21-017455 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.525 to $2.88 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F3 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
March 03, 2021 Filed Mar 3, 2021 20:06 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 207,245 $2.70 $559,147.01
Disclosure

SEC source: 0001209191-21-017455 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.525 to $2.88 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
March 02, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 138,199 $2.90 $400,638.90
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 6

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 113,935

F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.83 to $2.99 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
March 02, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 251,375 $2.90 $728,736.13
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 3

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 207,245

F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.83 to $2.99 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
March 01, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 61,619 $2.86 $175,983.86
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 5

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 252,134

F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.79 to $2.89 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
March 01, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 112,081 $2.86 $320,103.34
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 458,620

F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.79 to $2.89 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 117,262 $2.83 $331,851.46
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 4

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 313,753

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.695 to $2.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 19:51 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 213,292 $2.83 $603,616.36
Disclosure

SEC source: 0001209191-21-016509 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 570,701

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.695 to $2.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
February 25, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 110,361 $2.95 $326,006.39
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 6

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 431,015

F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.895 to $3.02 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
February 25, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 200,739 $2.95 $592,983.01
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 3

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 783,993

F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.895 to $3.02 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
February 24, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 178,484 $2.98 $532,239.29
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 5

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 541,376

F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.82 to $3.14 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
February 24, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 324,651 $2.98 $968,109.28
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 984,732

F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.82 to $3.14 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 95,113 $2.89 $274,686.34
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 4

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 719,860

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.875 to $2.945 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F5 · ownership.nature: Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 21:56 UTC OTONOMY, INC. OTIC · Entity 116495 SaleCommon Stock 173,005 $2.89 $499,638.44
Disclosure

SEC source: 0001209191-21-014562 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,309,383

F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $2.875 to $2.945 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares.

Read SEC document
June 23, 2020 Filed Jun 25, 2020 17:06 UTC OTONOMY, INC. OTIC · Entity 116495 GrantStock Option (right to buy) · Derivative 17,500 $0.00 Strike: $3.56 $0.00
Disclosure

SEC source: 0001209191-20-038942 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2030-06-22

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date, and (ii) the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

Read SEC document
January 23, 2020 Filed Jan 24, 2020 18:28 UTC Synthorx, Inc. THOR · Entity 152202 Disposition to issuerStock Option (right to buy) · Derivative 15,335 $55.60 Strike: $12.40 $852,626.00
Disclosure

SEC source: 0001209191-20-004924 · doc4.xml · derivative · entry 5

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,335 shares

Expires 2029-06-06

F3 · derivative.exercise_date: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following June 7, 2019, such that the option would be fully vested on the date of the Issuer's next annual stockholder meeting, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $852,626.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

Read SEC document
January 23, 2020 Filed Jan 24, 2020 18:28 UTC Synthorx, Inc. THOR · Entity 152202 Disposition to issuerStock Option (right to buy) · Derivative 30,000 $57.00 Strike: $11.00 $1,710,000.00
Disclosure

SEC source: 0001209191-20-004924 · doc4.xml · derivative · entry 4

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2028-12-05

F2 · derivative.exercise_date: This option, which provided for vesting of the shares in equal monthly installments over the 12 months following December 6, 2018, was cancelled in connection with the merger of the Issuer with Sanofi's wholly owned subsidiary in exchange for a cash payment of $1,710,000.00, representing the difference between the exercise price of the option and the market value of the underlying common stock of the Issuer on the effective date of the merger ($68).

Read SEC document
January 23, 2020 Filed Jan 24, 2020 18:28 UTC Synthorx, Inc. THOR · Entity 152202 OtherCommon Stock 1,682,086 $68.00 $114,381,848.00
Disclosure

SEC source: 0001209191-20-004924 · doc4.xml · nonDerivative · entry 3

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon X SPV I, L.P.

Disclosed balance after: 0

F1 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

Read SEC document
January 23, 2020 Filed Jan 24, 2020 18:28 UTC Synthorx, Inc. THOR · Entity 152202 OtherCommon Stock 448,567 $68.00 $30,502,556.00
Disclosure

SEC source: 0001209191-20-004924 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X GP, LLC

Disclosed balance after: 0

F1 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

Read SEC document
January 23, 2020 Filed Jan 24, 2020 18:28 UTC Synthorx, Inc. THOR · Entity 152202 OtherCommon Stock 150,000 $68.00 $10,200,000.00
Disclosure

SEC source: 0001209191-20-004924 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 0

F1 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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January 14, 2020 Filed Jan 16, 2020 16:24 UTC Synthorx, Inc. THOR · Entity 152202 OtherCommon Stock 448,567 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-003673 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X GP, LLC

Disclosed balance after: 448,567

F3 · kind: Shares received in connection with the distribution by Avalon Ventures X L.P. for no consideration.

F3 · price: Shares received in connection with the distribution by Avalon Ventures X L.P. for no consideration.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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January 14, 2020 Filed Jan 16, 2020 16:24 UTC Synthorx, Inc. THOR · Entity 152202 OtherCommon Stock 4,598,796 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-003673 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 150,000

F1 · kind: These shares were distributed on a pro rata basis to the partners of Avalon Ventures X, L.P. without the receipt of consideration.

F1 · price: These shares were distributed on a pro rata basis to the partners of Avalon Ventures X, L.P. without the receipt of consideration.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P., Avalon Ventures X GP LLC and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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June 11, 2019 Filed Jun 13, 2019 17:05 UTC OTONOMY, INC. OTIC · Entity 116495 GrantStock Option (right to buy) · Derivative 17,500 $0.00 Strike: $2.35 $0.00
Disclosure

SEC source: 0001209191-19-036839 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2029-06-10

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

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June 07, 2019 Filed Jun 10, 2019 18:56 UTC Synthorx, Inc. THOR · Entity 152202 GrantStock Option (right to buy) · Derivative 15,335 $0.00 Strike: $12.40 $0.00
Disclosure

SEC source: 0001209191-19-035986 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,335

Underlying: Common Stock · 15,335 shares

Expires 2029-06-06

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over the 12 months following June 7, 2019, provided that the option will be fully vested on the date of the Issuer's next annual stockholder meeting.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionSeries C Preferred Stock · Derivative 1,821,156 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · derivative · entry 9

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon X SPV I, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,136,631 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionSeries C Preferred Stock · Derivative 4,033,283 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · derivative · entry 8

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,517,278 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionSeries B Preferred Stock · Derivative 1,221,896 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · derivative · entry 7

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 762,617 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionSeries A Preferred Stock · Derivative 2,053,534 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · derivative · entry 6

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,281,664 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 PurchaseCommon Stock 545,455 $11.00 $6,000,005.00
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · nonDerivative · entry 5

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon X SPV I, L.P.

Disclosed balance after: 1,682,086

F3 · kind: The shares were purchased at the Issuer's initial public offering.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionCommon Stock 1,136,631 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · nonDerivative · entry 4

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon X SPV I, L.P.

Disclosed balance after: 1,136,631

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 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionCommon Stock 2,517,278 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · nonDerivative · entry 3

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 4,748,796

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 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionCommon Stock 762,617 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · nonDerivative · entry 2

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 2,231,518

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 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 11, 2018 Filed Dec 13, 2018 18:35 UTC Synthorx, Inc. THOR · Entity 152202 ConversionCommon Stock 1,281,664 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-062517 · doc4.xml · nonDerivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Avalon Ventures X, L.P.

Disclosed balance after: 1,468,901

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 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1.60224-to-1 basis. The shares have no expiration date.

F2 · ownership.nature: The Reporting Person is a managing member of Avalon Ventures X GP LLC and Avalon Ventures X SPV GP LLC, the general partners of Avalon Ventures X, L.P. and Avalon X SPV I, L.P., and shares voting and investment power with respect to the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P. The Reporting Person disclaims beneficial ownership of the shares held by Avalon Ventures X, L.P. and Avalon X SPV I, L.P., except to the extent of his actual pecuniary interest therein if any.

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December 06, 2018 Filed Dec 7, 2018 17:38 UTC Synthorx, Inc. THOR · Entity 152202 GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $11.00 $0.00
Disclosure

SEC source: 0001209191-18-061574 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-12-05

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over the 12 months following December 6, 2018.

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June 19, 2018 Filed Jun 20, 2018 19:42 UTC OTONOMY, INC. OTIC · Entity 116495 GrantStock Option (right to buy) · Derivative 17,500 $0.00 Strike: $4.45 $0.00
Disclosure

SEC source: 0001209191-18-038881 · doc4.xml · derivative · entry 1

Lichter Jay · CIK 0001376355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2028-06-18

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the date of the Issuer's next annual meeting of stockholders occurring after the grant date, provided that the Reporting Person remains a service provider through such date.

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.