Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OTONOMY, INC.OTIC · Entity 116495 | Director | June 21, 2022 | June 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.95 · Expires 2032-06-20 | Direct | 27,500 |
Reported balance
After 2022-06-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,000 |
Ending reported balance
After 2024-09-13 transaction · row 5
5 source rows · reconciled sequenceRow 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 2027-07-19 | Direct | 27,138 |
Reported balance
After 2024-09-13 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-07-19 | Direct | 11,308 |
Reported balance
After 2024-09-13 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-07-19 | Direct | 11,308 |
Reported balance
After 2024-09-13 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2027-07-19 | Direct | 7,682 |
Reported balance
After 2024-09-13 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2024-09-13 · Exercise / conversion · Disposed 391 · Balance 7,682 F4: Immediately exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy Avalon BioVentures I, LP | 573,227 |
Reported balance
Holding disclosure · report date 2024-09-13 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 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-derivative | IndirectBy 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 rowRow 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 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 rowRow 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-derivative | IndirectBy Avalon Ventures X GP, LLC | 0 |
Reported balance
After 2020-01-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 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-derivative | IndirectBy 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 rowRow 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 2028-12-05 | Direct | 0 |
Reported balance
After 2020-01-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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 2029-06-06 | Direct | 0 |
Reported balance
After 2020-01-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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
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 |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 16:24 UTC | Synthorx, Inc. THOR · Entity 152202 | OtherCommon Stock | 448,567 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 16:24 UTC | Synthorx, Inc. THOR · Entity 152202 | OtherCommon Stock | 4,598,796 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 18:35 UTC | Synthorx, Inc. THOR · Entity 152202 | ConversionCommon Stock | 1,136,631 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 18:35 UTC | Synthorx, Inc. THOR · Entity 152202 | ConversionCommon Stock | 2,517,278 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 18:35 UTC | Synthorx, Inc. THOR · Entity 152202 | ConversionCommon Stock | 762,617 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 18:35 UTC | Synthorx, Inc. THOR · Entity 152202 | ConversionCommon Stock | 1,281,664 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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.