person · Reporting owner

Rubin Michael P.

Disclosed activity across 6 companies

Tapewire entity: 86720
SEC CIK: 0001867627

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Camp4 Therapeutics CorpCAMP · Entity 1161	10% owner	October 15, 2024	October 17, 2024
IsoPlexis CorpISO · Entity 115290	10% owner	October 12, 2021	October 14, 2021
Telesis Bio Inc.TBIO · Entity 15606	Director · 10% owner	June 05, 2023	June 07, 2023
Vigil Neuroscience, Inc.VIGL · Entity 11675	10% owner	January 11, 2022	January 11, 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.

Camp4 Therapeutics Corp

Report date October 15, 2024 · Filed October 17, 2024

Jointly reported with Northpond Ventures II GP, LLC, Northpond Ventures II, LP, Northpond Ventures GP, LLC, Northpond Ventures, LP, Northpond Ventures III GP, LLC, Northpond Ventures III, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Northpond Ventures II, LP	1,003,193	Reported balance After 2024-10-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-10-15 · Conversion · Acquired 1,003,193 · Balance 1,003,193 F1: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: The shares are held directly by Northpond Ventures II, LP ("Northpond Fund II"). Northpond Ventures II GP, LLC ("Northpond II GP") is the general partner of Northpond Fund II, and Michael P. Rubin is the managing member of Northpond II GP. As a result, each of Northpond II GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond II GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectBy Northpond Ventures, LP	471,415	Reported balance After 2024-10-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-10-15 · Conversion · Acquired 471,415 · Balance 471,415 F1: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F3: The shares are held directly by Northpond Ventures, LP ("Northpond Fund I"). Northpond Ventures GP, LLC ("Northpond GP I") is the general partner of Northpond Fund I, and Michael P. Rubin is the managing member of Northpond GP I. As a result, each of Northpond GP I and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund I. Each of Northpond GP I and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectBy Northpond Ventures III, LP	763,636	Reported balance After 2024-10-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2024-10-15 · Purchase · Acquired 763,636 · Balance 763,636 F4: The shares are held directly by Northpond Ventures III, LP ("Northpond Fund III"). Northpond Ventures III GP, LLC ("Northpond III GP") is the general partner of Northpond Fund III, and Michael P. Rubin is the managing member of Northpond III GP. As a result, each of Northpond III GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Series A Prime Preferred StockSEC Table II · derivative / convertible security	IndirectBy Northpond Ventures II, LP	0	Reported balance After 2024-10-15 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-10-15 · Conversion · Disposed 11,251,624 · Balance 0 F1: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2: The shares are held directly by Northpond Ventures II, LP ("Northpond Fund II"). Northpond Ventures II GP, LLC ("Northpond II GP") is the general partner of Northpond Fund II, and Michael P. Rubin is the managing member of Northpond II GP. As a result, each of Northpond II GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond II GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy Northpond Ventures, LP	0	Reported balance After 2024-10-15 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-10-15 · Conversion · Disposed 5,287,303 · Balance 0 F1: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F3: The shares are held directly by Northpond Ventures, LP ("Northpond Fund I"). Northpond Ventures GP, LLC ("Northpond GP I") is the general partner of Northpond Fund I, and Michael P. Rubin is the managing member of Northpond GP I. As a result, each of Northpond GP I and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund I. Each of Northpond GP I and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.

F2: The shares are held directly by Northpond Ventures II, LP ("Northpond Fund II"). Northpond Ventures II GP, LLC ("Northpond II GP") is the general partner of Northpond Fund II, and Michael P. Rubin is the managing member of Northpond II GP. As a result, each of Northpond II GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond II GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F3: The shares are held directly by Northpond Ventures, LP ("Northpond Fund I"). Northpond Ventures GP, LLC ("Northpond GP I") is the general partner of Northpond Fund I, and Michael P. Rubin is the managing member of Northpond GP I. As a result, each of Northpond GP I and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund I. Each of Northpond GP I and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F4: The shares are held directly by Northpond Ventures III, LP ("Northpond Fund III"). Northpond Ventures III GP, LLC ("Northpond III GP") is the general partner of Northpond Fund III, and Michael P. Rubin is the managing member of Northpond III GP. As a result, each of Northpond III GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

IsoPlexis Corp

Report date October 12, 2021 · Filed October 14, 2021

Jointly reported with Northpond Capital GP, LLC, Northpond Capital, L.P., Northpond Ventures GP, LLC, Northpond Ventures, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	6,727,570	Reported balance After 2021-10-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-10-12 · Conversion · Acquired 6,304,192 · Balance 6,727,570 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F2: Includes 423,378 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,080,961	Reported balance After 2021-10-12 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-10-12 · Conversion · Acquired 1,040,048 · Balance 1,080,961 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F4: Includes 40,913 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F5: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,080,961	Reported balance After 2021-10-12 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2021-10-12 · Purchase · Acquired 1,000,000 · Balance 2,080,961 F5: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.
Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2021-10-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-10-12 · Conversion · Disposed 287,785 · Balance 0 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2021-10-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-10-12 · Conversion · Disposed 309,131 · Balance 0 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2021-10-12 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-10-12 · Conversion · Disposed 191,108 · Balance 0 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.
Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2021-10-12 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2021-10-12 · Conversion · Disposed 130,006 · Balance 0 F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date.

F2: Includes 423,378 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP.

F4: Includes 40,913 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F5: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP.

Telesis Bio Inc.

Report date June 05, 2023 · Filed June 07, 2023

Jointly reported with Northpond Ventures GP, LLC, Northpond Ventures, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.36	IndirectSee Footnote	3,385,097	Reported balance After 2023-06-05 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-06-05 · Grant · Acquired 80,000 · Balance 3,385,097 F1: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock). F2: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date. F3: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein.
Long-Term WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $2.60 · Expires 2030-06-05	IndirectSee Footnote	3,385,097	Reported balance After 2023-06-05 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-06-05 · Grant · Acquired 3,385,097 · Balance 3,385,097 F4: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F6: NPV I paid no additional purchase-price consideration to acquire the Warrants pursuant to the Purchase Agreement, as all purchase-price consideration thereunder was attributable to the Preferred Stock. F3: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein.
Short-Term WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $2.60 · Expires 2025-06-05	IndirectSee Footnote	1,692,549	Reported balance After 2023-06-05 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-06-05 · Grant · Acquired 1,692,549 · Balance 1,692,549 F5: The number of shares of Common Stock underlying this warrant (together with the warrant described in footnote 3, the "Warrants") and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F6: NPV I paid no additional purchase-price consideration to acquire the Warrants pursuant to the Purchase Agreement, as all purchase-price consideration thereunder was attributable to the Preferred Stock. F4: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F3: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein.

Filing footnotes · ownership attribution and instrument terms

F1: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock).

F2: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date.

F3: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein.

F4: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer.

F5: The number of shares of Common Stock underlying this warrant (together with the warrant described in footnote 3, the "Warrants") and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer.

F6: NPV I paid no additional purchase-price consideration to acquire the Warrants pursuant to the Purchase Agreement, as all purchase-price consideration thereunder was attributable to the Preferred Stock.

Vigil Neuroscience, Inc.

Report date January 11, 2022 · Filed January 11, 2022

Jointly reported with Northpond Ventures GP, LLC, Northpond Ventures, LP, Northpond Ventures II GP, LLC, Northpond Ventures II, LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures, LP	2,831,520	Reported balance After 2022-01-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-01-11 · Conversion · Acquired 2,831,520 · Balance 2,831,520 F1: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F2: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures II, LP	1,382,978	Last balance in matching sequence After 2022-01-11 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2022-01-11 · Conversion · Acquired 1,027,978 · Balance 1,027,978 F1: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F3: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Row 3 · 2022-01-11 · Purchase · Acquired 355,000 · Balance 1,382,978 F3: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectBy: Northpond Ventures, LP	0	Reported balance After 2022-01-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-01-11 · Conversion · Disposed 2,831,520 · Balance 0 F1: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F2: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy: Northpond Ventures II, LP	0	Reported balance After 2022-01-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-01-11 · Conversion · Disposed 1,027,978 · Balance 0 F1: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F3: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date.

F2: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F3: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Past disclosures · reporting ended (2)

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

DICE Therapeutics, Inc.

Report date June 22, 2023 · Filed June 23, 2023

Jointly reported with Northpond Ventures GP, LLC, Northpond Ventures, LP, Northpond Ventures II GP, LLC, Northpond Ventures II, LP

Section 16 reporting ended · disclosed 2023-06-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures, LP	633,707	Reported balance After 2023-06-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-06-22 · Sale · Disposed 1,969,368 · Balance 633,707 F1: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $46.44 to $46.63, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F2: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures II, LP	166,293	Reported balance After 2023-06-22 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-06-22 · Sale · Disposed 523,503 · Balance 166,293 F1: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $46.44 to $46.63, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F3: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $46.44 to $46.63, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

Kyverna Therapeutics, Inc.

Report date February 12, 2024 · Filed February 12, 2024

Jointly reported with Northpond Ventures III GP, LLC, Northpond Ventures III, LP

Section 16 reporting ended · disclosed 2024-02-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures III, LP	2,805,426	Reported balance After 2024-02-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-02-12 · Conversion · Acquired 2,805,426 · Balance 2,805,426 F1: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F2: Northpond Ventures III GP, LLC ("Northpond III LLC") is the general partner of Northpond Ventures III, LP ("Northpond Fund III"), and Michael P. Rubin is the managing member of Northpond III LLC. As a result, each of Northpond III LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.
Common StockSEC Table I · non-derivative	IndirectBy: Northpond Ventures, LP	450,000	Reported balance After 2024-02-12 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-02-12 · Purchase · Acquired 450,000 · Balance 450,000 F3: Northpond Ventures GP, LLC ("Northpond LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond LLC. As a result, Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Mr. Rubin disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy: Northpond Ventures III, LP	0	Reported balance After 2024-02-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-02-12 · Conversion · Disposed 12,767,776 · Balance 0 F1: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F2: Northpond Ventures III GP, LLC ("Northpond III LLC") is the general partner of Northpond Ventures III, LP ("Northpond Fund III"), and Michael P. Rubin is the managing member of Northpond III LLC. As a result, each of Northpond III LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date.

F2: Northpond Ventures III GP, LLC ("Northpond III LLC") is the general partner of Northpond Ventures III, LP ("Northpond Fund III"), and Michael P. Rubin is the managing member of Northpond III LLC. As a result, each of Northpond III LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any.

F3: Northpond Ventures GP, LLC ("Northpond LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond LLC. As a result, Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Mr. Rubin disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 15, 2024 Filed Oct 17, 2024 18:34 UTC	Camp4 Therapeutics Corp CAMP · Entity 1161	ConversionSeries B Preferred Stock · Derivative	5,287,303	Not disclosed	Not disclosed	Disclosure SEC source: 0001415889-24-025393 · form4-10172024_101042.xml · derivative · entry 5 Northpond Ventures II GP, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures III GP, LLC · CIK 0002010695 · 10% owner Northpond Ventures III, LP · CIK 0001972690 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 471,415 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F3 · ownership.nature: The shares are held directly by Northpond Ventures, LP ("Northpond Fund I"). Northpond Ventures GP, LLC ("Northpond GP I") is the general partner of Northpond Fund I, and Michael P. Rubin is the managing member of Northpond GP I. As a result, each of Northpond GP I and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund I. Each of Northpond GP I and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
October 15, 2024 Filed Oct 17, 2024 18:34 UTC	Camp4 Therapeutics Corp CAMP · Entity 1161	ConversionSeries A Prime Preferred Stock · Derivative	11,251,624	Not disclosed	Not disclosed	Disclosure SEC source: 0001415889-24-025393 · form4-10172024_101042.xml · derivative · entry 4 Northpond Ventures II GP, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures III GP, LLC · CIK 0002010695 · 10% owner Northpond Ventures III, LP · CIK 0001972690 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Northpond Ventures II, LP Disclosed balance after: 0 Underlying: Common Stock · 1,003,193 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held directly by Northpond Ventures II, LP ("Northpond Fund II"). Northpond Ventures II GP, LLC ("Northpond II GP") is the general partner of Northpond Fund II, and Michael P. Rubin is the managing member of Northpond II GP. As a result, each of Northpond II GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond II GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
October 15, 2024 Filed Oct 17, 2024 18:34 UTC	Camp4 Therapeutics Corp CAMP · Entity 1161	PurchaseCommon Stock	763,636	$11.00	$8,399,996.00	Disclosure SEC source: 0001415889-24-025393 · form4-10172024_101042.xml · nonDerivative · entry 3 Northpond Ventures II GP, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures III GP, LLC · CIK 0002010695 · 10% owner Northpond Ventures III, LP · CIK 0001972690 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Northpond Ventures III, LP Disclosed balance after: 763,636 F4 · ownership.nature: The shares are held directly by Northpond Ventures III, LP ("Northpond Fund III"). Northpond Ventures III GP, LLC ("Northpond III GP") is the general partner of Northpond Fund III, and Michael P. Rubin is the managing member of Northpond III GP. As a result, each of Northpond III GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
October 15, 2024 Filed Oct 17, 2024 18:34 UTC	Camp4 Therapeutics Corp CAMP · Entity 1161	ConversionCommon Stock	471,415	Not disclosed	Not disclosed	Disclosure SEC source: 0001415889-24-025393 · form4-10172024_101042.xml · nonDerivative · entry 2 Northpond Ventures II GP, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures III GP, LLC · CIK 0002010695 · 10% owner Northpond Ventures III, LP · CIK 0001972690 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Northpond Ventures, LP Disclosed balance after: 471,415 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F3 · ownership.nature: The shares are held directly by Northpond Ventures, LP ("Northpond Fund I"). Northpond Ventures GP, LLC ("Northpond GP I") is the general partner of Northpond Fund I, and Michael P. Rubin is the managing member of Northpond GP I. As a result, each of Northpond GP I and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund I. Each of Northpond GP I and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
October 15, 2024 Filed Oct 17, 2024 18:34 UTC	Camp4 Therapeutics Corp CAMP · Entity 1161	ConversionCommon Stock	1,003,193	Not disclosed	Not disclosed	Disclosure SEC source: 0001415889-24-025393 · form4-10172024_101042.xml · nonDerivative · entry 1 Northpond Ventures II GP, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures III GP, LLC · CIK 0002010695 · 10% owner Northpond Ventures III, LP · CIK 0001972690 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Northpond Ventures II, LP Disclosed balance after: 1,003,193 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A Prime Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a 11.2158-for-one basis without payment of further consideration. Immediately prior to the closing of the Issuer's initial public offering, the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date. F2 · ownership.nature: The shares are held directly by Northpond Ventures II, LP ("Northpond Fund II"). Northpond Ventures II GP, LLC ("Northpond II GP") is the general partner of Northpond Fund II, and Michael P. Rubin is the managing member of Northpond II GP. As a result, each of Northpond II GP and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond II GP and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
February 12, 2024 Filed Feb 12, 2024 17:51 UTC	Kyverna Therapeutics, Inc. KYTX · Entity 5452	ConversionSeries B Preferred Stock · Derivative	12,767,776	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-014000 · ownership.xml · derivative · entry 3 Northpond Ventures III GP, LLC · CIK 0002010695 · Former 10% Owner Northpond Ventures III, LP · CIK 0001972690 · Former 10% Owner Rubin Michael P. · CIK 0001867627 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Northpond Ventures III, LP Disclosed balance after: 0 Underlying: Common Stock · 2,805,426 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: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F1 · kind: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F2 · ownership.nature: Northpond Ventures III GP, LLC ("Northpond III LLC") is the general partner of Northpond Ventures III, LP ("Northpond Fund III"), and Michael P. Rubin is the managing member of Northpond III LLC. As a result, each of Northpond III LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
February 12, 2024 Filed Feb 12, 2024 17:51 UTC	Kyverna Therapeutics, Inc. KYTX · Entity 5452	PurchaseCommon Stock	450,000	$22.00	$9,900,000.00	Disclosure SEC source: 0000950170-24-014000 · ownership.xml · nonDerivative · entry 2 Northpond Ventures III GP, LLC · CIK 0002010695 · Former 10% Owner Northpond Ventures III, LP · CIK 0001972690 · Former 10% Owner Rubin Michael P. · CIK 0001867627 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 450,000 F3 · ownership.nature: Northpond Ventures GP, LLC ("Northpond LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond LLC. As a result, Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Mr. Rubin disclaims beneficial ownership of the securities reported herein, except to the extent of his pecuniary interest therein, if any. Read SEC document
February 12, 2024 Filed Feb 12, 2024 17:51 UTC	Kyverna Therapeutics, Inc. KYTX · Entity 5452	ConversionCommon Stock	2,805,426	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-014000 · ownership.xml · nonDerivative · entry 1 Northpond Ventures III GP, LLC · CIK 0002010695 · Former 10% Owner Northpond Ventures III, LP · CIK 0001972690 · Former 10% Owner Rubin Michael P. · CIK 0001867627 · Former 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Northpond Ventures III, LP Disclosed balance after: 2,805,426 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 · kind: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Kyverna Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.00001 per share (the "Series B Preferred Stock"), of the Issuer automatically converted on a 4.5511-for-1 basis into shares of the Issuer's common stock, par value $0.00001 per share (the "Common Stock"). The Series B Preferred Stock had no expiration date. F2 · ownership.nature: Northpond Ventures III GP, LLC ("Northpond III LLC") is the general partner of Northpond Ventures III, LP ("Northpond Fund III"), and Michael P. Rubin is the managing member of Northpond III LLC. As a result, each of Northpond III LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund III. Each of Northpond III LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2023 Filed Jun 23, 2023 17:36 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	SaleCommon Stock	523,503	$46.50	$24,342,889.50	Disclosure SEC source: 0000899243-23-016413 · doc4.xml · nonDerivative · entry 2 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 166,293 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $46.44 to $46.63, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F3 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2023 Filed Jun 23, 2023 17:36 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	SaleCommon Stock	1,969,368	$46.50	$91,575,612.00	Disclosure SEC source: 0000899243-23-016413 · doc4.xml · nonDerivative · entry 1 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 633,707 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $46.44 to $46.63, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 05, 2023 Filed Jun 7, 2023 18:15 UTC	Telesis Bio Inc. TBIO · Entity 15606	GrantShort-Term Warrants · Derivative	1,692,549	$0.00 Strike: $2.60	$0.00	Disclosure SEC source: 0001104659-23-068998 · tm2318055-1_4seq1.xml · derivative · entry 3 Northpond Ventures GP, LLC · CIK 0001867470 · Director · 10% owner Northpond Ventures, LP · CIK 0001867472 · Director · 10% owner Rubin Michael P. · CIK 0001867627 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 1,692,549 Underlying: Common Stock · 1,692,549 shares Expires 2025-06-05 F5 · derivative.exercise_price: The number of shares of Common Stock underlying this warrant (together with the warrant described in footnote 3, the "Warrants") and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F5 · shares: The number of shares of Common Stock underlying this warrant (together with the warrant described in footnote 3, the "Warrants") and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F6 · price: NPV I paid no additional purchase-price consideration to acquire the Warrants pursuant to the Purchase Agreement, as all purchase-price consideration thereunder was attributable to the Preferred Stock. F5 · derivative.underlying_shares: The number of shares of Common Stock underlying this warrant (together with the warrant described in footnote 3, the "Warrants") and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F4 · balance_after: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F3 · ownership.nature: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein. Read SEC document
June 05, 2023 Filed Jun 7, 2023 18:15 UTC	Telesis Bio Inc. TBIO · Entity 15606	GrantLong-Term Warrants · Derivative	3,385,097	$0.00 Strike: $2.60	$0.00	Disclosure SEC source: 0001104659-23-068998 · tm2318055-1_4seq1.xml · derivative · entry 2 Northpond Ventures GP, LLC · CIK 0001867470 · Director · 10% owner Northpond Ventures, LP · CIK 0001867472 · Director · 10% owner Rubin Michael P. · CIK 0001867627 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,385,097 Underlying: Common Stock · 3,385,097 shares Expires 2030-06-05 F4 · derivative.exercise_price: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F4 · shares: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F6 · price: NPV I paid no additional purchase-price consideration to acquire the Warrants pursuant to the Purchase Agreement, as all purchase-price consideration thereunder was attributable to the Preferred Stock. F4 · derivative.underlying_shares: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F4 · balance_after: The number of shares of Common Stock underlying this warrant and the exercise price are subject to customary adjustments in the event of any stock split, stock dividend and/or certain other events involving the Issuer. F3 · ownership.nature: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein. Read SEC document
June 05, 2023 Filed Jun 7, 2023 18:15 UTC	Telesis Bio Inc. TBIO · Entity 15606	GrantRedeemable Convertible Preferred Stock · Derivative	80,000	$100.00 Strike: $2.36	$8,000,000.00	Disclosure SEC source: 0001104659-23-068998 · tm2318055-1_4seq1.xml · derivative · entry 1 Northpond Ventures GP, LLC · CIK 0001867470 · Director · 10% owner Northpond Ventures, LP · CIK 0001867472 · Director · 10% owner Rubin Michael P. · CIK 0001867627 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 3,385,097 Underlying: Common Stock · 3,385,097 shares Expires not disclosed F1 · derivative.exercise_price: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock). F2 · derivative.exercise_price: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock). F2 · derivative.expiration_date: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date. F1 · derivative.underlying_shares: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock). F2 · derivative.underlying_shares: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date. F1 · balance_after: The number of shares of common stock, par value $0.0001 per share, of the Issuer ("Common Stock") deliverable upon conversion of each share of redeemable convertible preferred stock, par value $0.0001 per share, of the Issuer (the "Preferred Stock") is calculated for purposes of this Form 4 by dividing the "Accrued Value" of all Preferred Stock acquired by Northpond Ventures, LP ("NPV I") as reported in this Form 4 (which aggregate Accrued Value is currently $8.0 million) by a Conversion Price per share of Preferred Stock of $2.3633 (which is the Conversion Price per share currently in effect for the Preferred Stock). F2 · balance_after: (continued from Footnote 1) The Accrued Value is subject to increase from time to time for accrued and unpaid dividends on the Preferred Stock, and the Conversion Price is subject to customary antidilution adjustments, and each is further defined and described in the Certificate of Designation of the Preferred Stock that the Issuer filed with the Secretary of State of the State of Delaware on June 1, 2023. The Preferred Stock is convertible into Common Stock at any time at the election of NPV I and is redeemable at any time after June 5, 2030 at the election of either NPV I or the Issuer. The Preferred Stock has no expiration date. F3 · ownership.nature: NPV I acquired the Preferred Stock and each of the Warrants (defined below) pursuant to the redeemable convertible preferred stock and warrant purchase agreement, dated as of May 31, 2023, by and among NPV I, the Issuer and the other investors party thereto (the "Purchase Agreement"), and NPV I holds the Preferred Stock and the Warrants directly. Each of Northpond Ventures GP, LLC ("NPV I GP"), the general partner of NPV I, and Michael P. Rubin, the managing member of NPV I GP, may be deemed to be the beneficial owner of the Preferred Stock and the Warrants held by NPV I, as a result of such relationships. Each of the reporting persons disclaims beneficial ownership of the Preferred Stock and the Warrants held by NPV I, expect to the extent of its or his respective pecuniary interested therein. Read SEC document
January 11, 2022 Filed Jan 11, 2022 20:18 UTC	Vigil Neuroscience, Inc. VIGL · Entity 11675	ConversionSeries B Preferred Stock · Derivative	1,027,978	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-001631 · doc4.xml · derivative · entry 5 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 0 Underlying: Common Stock · 1,027,978 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: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · kind: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F3 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
January 11, 2022 Filed Jan 11, 2022 20:18 UTC	Vigil Neuroscience, Inc. VIGL · Entity 11675	ConversionSeries A Preferred Stock · Derivative	2,831,520	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-001631 · doc4.xml · derivative · entry 4 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 2,831,520 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: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · kind: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
January 11, 2022 Filed Jan 11, 2022 20:18 UTC	Vigil Neuroscience, Inc. VIGL · Entity 11675	PurchaseCommon Stock	355,000	$14.00	$4,970,000.00	Disclosure SEC source: 0000899243-22-001631 · doc4.xml · nonDerivative · entry 3 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 1,382,978 F3 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
January 11, 2022 Filed Jan 11, 2022 20:18 UTC	Vigil Neuroscience, Inc. VIGL · Entity 11675	ConversionCommon Stock	1,027,978	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-001631 · doc4.xml · nonDerivative · entry 2 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 1,027,978 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 · kind: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F3 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
January 11, 2022 Filed Jan 11, 2022 20:18 UTC	Vigil Neuroscience, Inc. VIGL · Entity 11675	ConversionCommon Stock	2,831,520	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-001631 · doc4.xml · nonDerivative · entry 1 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 2,831,520 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 · kind: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of Vigil Neuroscience, Inc. (the "Issuer"), each share of Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Series B Preferred stock, par value $0.0001 per share of the Issuer (the "Series B Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series B Preferred Stock into Common Stock had no expiration date. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionSeries D Redeemable Convertible Preferred Stock · Derivative	130,006	$0.00	$0.00	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · derivative · entry 7 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,040,048 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.exercise_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.expiration_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F5 · ownership.nature: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionSeries D Redeemable Convertible Preferred Stock · Derivative	191,108	$0.00	$0.00	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · derivative · entry 6 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,528,864 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.exercise_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.expiration_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3 · ownership.nature: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative	309,131	$0.00	$0.00	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · derivative · entry 5 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,473,048 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.exercise_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.expiration_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3 · ownership.nature: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionSeries C Redeemable Convertible Preferred Stock · Derivative	287,785	$0.00	$0.00	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · derivative · entry 4 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,302,280 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.exercise_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.expiration_date: Each share of the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F3 · ownership.nature: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	PurchaseCommon Stock	1,000,000	$15.00	$15,000,000.00	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · nonDerivative · entry 3 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,080,961 F5 · ownership.nature: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionCommon Stock	1,040,048	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · nonDerivative · entry 2 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,080,961 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F4 · balance_after: Includes 40,913 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F5 · ownership.nature: The securities are held directly by Northpond Capital, LP ("Northpond Capital"). Northpond Capital GP, LLC ("Northpond Capital GP") is the general partner of Northpond Capital. Rubin is the managing member of Northpond Capital GP. Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:24 UTC	IsoPlexis Corp ISO · Entity 115290	ConversionCommon Stock	6,304,192	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-060463 · doc4.xml · nonDerivative · entry 1 Northpond Capital GP, LLC · CIK 0001871669 · 10% owner Northpond Capital, L.P. · CIK 0001871659 · 10% owner Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,727,570 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 the Series C Redeemable Convertible Preferred Stock, Series C-2 Redeemable Convertible Preferred Stock and Series D Redeemable Convertible Preferred Stock automatically converted on a one-for-8 basis into Common Stock upon the consummation of the Issuer's initial public offering. The preferred stock had no expiration date. F2 · balance_after: Includes 423,378 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3 · ownership.nature: The securities are held directly by Northpond Ventures, LP ("Northpond"). Northpond Ventures GP, LLC ("Northpond GP") is the general partner of Northpond. Michael P. Rubin ("Rubin") is the managing member of Northpond GP. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	ConversionSeries C-1 Convertible Preferred Stock · Derivative	454,796	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · derivative · entry 6 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 0 Underlying: Common Stock · 454,796 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F2 · kind: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F2 · price: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F2 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F2 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F4 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	ConversionSeries C Convertible Preferred Stock · Derivative	867,687	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · derivative · entry 5 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 867,687 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: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · kind: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F3 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	ConversionSeries B Convertible Preferred Stock · Derivative	1,735,388	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · derivative · entry 4 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 1,735,388 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: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · kind: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F3 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	PurchaseCommon Stock	235,000	$17.00	$3,995,000.00	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · nonDerivative · entry 3 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 3,292,871 F4 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	ConversionCommon Stock	454,796	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · nonDerivative · entry 2 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 3,057,871 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F2 · price: Immediately prior to the closing of the initial public offering of the Issuer, each share of Series C-1 Convertible Preferred Stock, par value $0.0001 per share (the "Series C-1 Convertible Preferred Stock"), of the Issuer automatically converted on a one-for-one basis into shares of the Issuer's Common Stock. The right to convert the Series C-1 Convertible Preferred Stock had no expiration date. F4 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
September 17, 2021 Filed Sep 20, 2021 21:19 UTC	DICE Therapeutics, Inc. DICE · Entity 110693	ConversionCommon Stock	2,603,075	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-036646 · doc4.xml · nonDerivative · entry 1 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 2,603,075 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 · kind: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F1 · price: Immediately prior to the closing of the initial public offering of DICE Therapeutics, Inc. (the "Issuer"), each share of Series B Convertible Preferred Stock, par value $0.0001 per share (the "Series B Convertible Preferred Stock"), of the Issuer and each share of Series C Convertible Preferred stock, par value $0.0001 per share of the Issuer (the "Series C Convertible Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series B Convertible Preferred Stock and Series C Preferred Stock into Common Stock had no expiration date. F3 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2021 Filed Jun 24, 2021 16:34 UTC	Telesis Bio Inc. DNAY · Entity 15606	ConversionSeries A-1 Preferred Stock · Derivative	4,160,529	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-025745 · doc4.xml · derivative · entry 4 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 4,160,529 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: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · kind: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · price: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2021 Filed Jun 24, 2021 16:34 UTC	Telesis Bio Inc. DNAY · Entity 15606	ConversionSeries A Preferred Stock · Derivative	5,214,851	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-025745 · doc4.xml · derivative · entry 3 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 0 Underlying: Common Stock · 5,241,851 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: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · kind: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · price: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2021 Filed Jun 24, 2021 16:34 UTC	Telesis Bio Inc. DNAY · Entity 15606	PurchaseCommon Stock	468,750	$16.00	$7,500,000.00	Disclosure SEC source: 0000899243-21-025745 · doc4.xml · nonDerivative · entry 2 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures II, LP Disclosed balance after: 9,844,130 F3 · ownership.nature: Northpond Ventures GP II, LLC ("Northpond GP II LLC") is the general partner of Northpond Ventures II, LP ("Northpond Fund II"), and Michael P. Rubin is the managing member of Northpond GP II LLC. As a result, each of Northpond GP II LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund II. Each of Northpond GP II LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. Read SEC document
June 22, 2021 Filed Jun 24, 2021 16:34 UTC	Telesis Bio Inc. DNAY · Entity 15606	ConversionCommon Stock	9,375,380	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-025745 · doc4.xml · nonDerivative · entry 1 Northpond Ventures GP, LLC · CIK 0001867470 · 10% owner Northpond Ventures, LP · CIK 0001867472 · 10% owner Northpond Ventures GP II, LLC · CIK 0001869114 · 10% owner Northpond Ventures II, LP · CIK 0001869128 · 10% owner Rubin Michael P. · CIK 0001867627 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Northpond Ventures, LP Disclosed balance after: 9,375,380 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 · kind: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F1 · price: Upon the closing of the initial public offering of Codex DNA, Inc. (the "Issuer"), each share of Class A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), of the Issuer and each share of Class A-1 Preferred stock, par value $0.0001 per share of the Issuer (the "Series A-1 Preferred Stock") automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"). The right to convert the Series A Preferred Stock and Series A-1 Preferred Stock into Common Stock had no expiration date. F2 · ownership.nature: Northpond Ventures GP, LLC ("Northpond GP LLC") is the general partner of Northpond Ventures, LP ("Northpond Fund"), and Michael P. Rubin is the managing member of Northpond GP LLC. As a result, each of Northpond GP LLC and Mr. Rubin may be deemed to share beneficial ownership with respect to the shares held of record by Northpond Fund. Each of Northpond GP LLC and Mr. Rubin disclaim beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. 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.