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VENBIO GLOBAL STRATEGIC GP III, L.P.

Disclosed activity across 4 companies

Tapewire entity
88846
SEC CIK
0001869303

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Ventyx Biosciences, Inc.VTYX · Entity 6284310% ownerJune 09, 2022June 10, 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.

Ventyx Biosciences, Inc.

Report date June 09, 2022 · Filed June 10, 2022

Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, LTD, Adelman Robert J, GOODMAN COREY S

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.54 · Expires 2032-06-09IndirectSee footnote13,301 Reported balance After 2022-06-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-06-09 · Grant · Acquired 13,301 · Balance 13,301

F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

F2: Represents options awarded to Aaron Royston, a director and partner of venBio Global Strategic GP III, Ltd. ("venBio Ltd"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio Global Strategic Fund III, L.P. ("venBio III"). Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Royston disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of his pecuniary interest therein.

F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.54 · Expires 2032-06-09IndirectSee footnote13,301 Reported balance After 2022-06-09 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-06-09 · Grant · Acquired 13,301 · Balance 13,301

F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

F3: Represents options awarded to Richard Gaster, a partner of venBio Global Strategic GP III, L.P. ("venBio GP"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio III. Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Gaster disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III.

F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

F2: Represents options awarded to Aaron Royston, a director and partner of venBio Global Strategic GP III, Ltd. ("venBio Ltd"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio Global Strategic Fund III, L.P. ("venBio III"). Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Royston disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of his pecuniary interest therein.

F3: Represents options awarded to Richard Gaster, a partner of venBio Global Strategic GP III, L.P. ("venBio GP"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio III. Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Gaster disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III.

F4: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.

Past disclosures · reporting ended (3)

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

Artiva Biotherapeutics, Inc.

Report date July 22, 2024 · Filed July 22, 2024

Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, LTD, Adelman Robert J, GOODMAN COREY S

Section 16 reporting ended · disclosed 2024-07-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,936,637 Last balance in matching sequence After 2024-07-22 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2024-07-22 · Conversion · Acquired 843,592 · Balance 843,592

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Row 2 · 2024-07-22 · Conversion · Acquired 214,692 · Balance 1,058,284

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Row 3 · 2024-07-22 · Other · Acquired 461,687 · Balance 1,519,971

F3: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.

F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Row 4 · 2024-07-22 · Purchase · Acquired 416,666 · Balance 1,936,637

F2: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-07-22 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2024-07-22 · Conversion · Disposed 843,592 · Balance 0

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2024-07-22 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2024-07-22 · Conversion · Disposed 214,692 · Balance 0

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

F3: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.

Elevation Oncology, Inc.

Report date May 25, 2022 · Filed May 27, 2022

Jointly reported with venBio Global Strategic Fund III, L.P., GOODMAN COREY S, Adelman Robert J, Royston Aaron

Section 16 reporting ended · disclosed 2022-05-27. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,905,430 Reported balance After 2022-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-05-25 · Sale · Disposed 702,737 · Balance 1,905,430

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.37, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

F2: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.37, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

F2: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Section 16 reporting ended · disclosed 2023-09-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect5,158,162 Last balance in matching sequence After 2023-09-19 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2023-09-19 · Conversion · Acquired 3,786,957 · Balance 3,786,957

F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Row 2 · 2023-09-19 · Conversion · Acquired 1,123,862 · Balance 4,910,819

F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Row 3 · 2023-09-19 · Conversion · Acquired 247,343 · Balance 5,158,162

F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-09-19 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-09-19 · Conversion · Disposed 3,786,957 · Balance 0

F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-09-19 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-09-19 · Conversion · Disposed 1,123,862 · Balance 0

F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-09-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2023-09-19 · Conversion · Disposed 216,127 · Balance 0

F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F2: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F3: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F4: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 ConversionSeries B Convertible Preferred Stock · Derivative 214,692 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · derivative · entry 6

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 214,692 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 ConversionSeries A Convertible Preferred Stock · Derivative 843,592 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · derivative · entry 5

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 843,592 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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 Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

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July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 PurchaseCommon Stock 416,666 $12.00 $4,999,992.00
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · nonDerivative · entry 4

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,936,637

F2 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 OtherCommon Stock 461,687 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · nonDerivative · entry 3

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,519,971

F3 · kind: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.

F3 · price: Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.

F2 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 ConversionCommon Stock 214,692 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · nonDerivative · entry 2

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,058,284

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

F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
July 22, 2024 Filed Jul 22, 2024 20:26 UTC Artiva Biotherapeutics, Inc. ARTV · Entity 5404 ConversionCommon Stock 843,592 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-001964 · form4.xml · nonDerivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 843,592

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

F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), 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.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionSeries C Convertible Preferred Stock · Derivative 216,127 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · derivative · entry 6

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 247,343 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F3 · price: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F3 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F3 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionSeries B Convertible Preferred Stock · Derivative 1,123,862 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · derivative · entry 5

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,123,862 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: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionSeries A Convertible Preferred Stock · Derivative 3,786,957 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · derivative · entry 4

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,786,957 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 Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F1 · price: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionCommon Stock 247,343 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · nonDerivative · entry 3

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,158,162

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

F3 · price: Each share of Series C Convertible Preferred Stock (the "Series C Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-1.14443753806379 basis. Upon the closing of the Issuer's initial public offering, the Series C Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series C Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionCommon Stock 1,123,862 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · nonDerivative · entry 2

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,910,819

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

F2 · price: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series B Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series B Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
September 19, 2023 Filed Sep 21, 2023 16:30 UTC RayzeBio, Inc. RYZB · Entity 93779 ConversionCommon Stock 3,786,957 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-23-000957 · form4.xml · nonDerivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,786,957

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 Convertible Preferred Stock (the "Series A Preferred Stock") was convertible into shares of Common Stock of the Issuer on a one-for-one basis. Upon the closing of the Issuer's initial public offering, the Series A Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Series A Preferred Stock had no expiration date.

F4 · ownership.direct: These securities are held directly by venBio Global Strategic Fund III, L.P., a Cayman Islands partnership ("venBio III"). venBio Global Strategic GP III, L.P., a Cayman Islands partnership ("venBio GP") is the sole general partner of venBio III. venBio Global Strategic GP III, Ltd., a Cayman Islands company ("venBio Ltd") is the sole general partner of venBio GP. Robert Adelman and Corey Goodman, each a citizen of the United States (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the securities held directly by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the securities held directly by venBio III except to the extent of their pecuniary interest therein.

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June 09, 2022 Filed Jun 10, 2022 18:22 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 GrantStock Option (right to buy) · Derivative 13,301 $0.00 Strike: $16.54 $0.00
Disclosure

SEC source: 0001567619-22-012695 · doc1.xml · derivative · entry 2

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 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: 13,301

Underlying: Common Stock · 13,301 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

F3 · ownership.nature: Represents options awarded to Richard Gaster, a partner of venBio Global Strategic GP III, L.P. ("venBio GP"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio III. Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Gaster disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III.

F4 · ownership.nature: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.

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June 09, 2022 Filed Jun 10, 2022 18:22 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 GrantStock Option (right to buy) · Derivative 13,301 $0.00 Strike: $16.54 $0.00
Disclosure

SEC source: 0001567619-22-012695 · doc1.xml · derivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 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: 13,301

Underlying: Common Stock · 13,301 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or, (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date the option was granted, in each case, subject to the relevant director (Dr. Royston and Dr. Gaster) continuing to be Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

F2 · ownership.nature: Represents options awarded to Aaron Royston, a director and partner of venBio Global Strategic GP III, Ltd. ("venBio Ltd"), pursuant to the annual equity grant under the Issuer's non-employee director compensation policy. These options are held for the benefit of venBio Global Strategic Fund III, L.P. ("venBio III"). Pursuant to policies of venBio Partners, the manager of venBio III, with respect to director compensation, upon the exercise of these options and sale of the underlying securities, the proceeds will be remitted to venBio III. Dr. Royston disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of his pecuniary interest therein.

F4 · ownership.nature: venBio GP is the sole general partner of venBio III. venBio Ltd. is the sole general partner of venBio GP. Dr. Royston, Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares underlying the options held for the benefit of venBio III except to the extent of their pecuniary interest therein.

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May 25, 2022 Filed May 27, 2022 19:20 UTC Elevation Oncology, Inc. ELEV · Entity 77243 SaleCommon Stock 702,737 $4.12 $2,897,806.29
Disclosure

SEC source: 0001140361-22-021085 · form4.xml · nonDerivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

Royston Aaron · CIK 0001727703 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,905,430

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.37, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

F2 · ownership.direct: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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October 25, 2021 Filed Oct 25, 2021 19:40 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 ConversionSeries B Preferred Stock · Derivative 395,027 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-018677 · doc1.xml · derivative · entry 5

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner · See Remarks

Adelman Robert J · CIK 0001329161 · 10% owner · See Remarks

GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 395,027 shares

Expires not disclosed

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

F1 · derivative.exercise_price: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F1 · derivative.exercise_date: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F1 · derivative.expiration_date: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F3 · ownership.direct: Shares held by venBio III. venBio GP is the sole general partner of venBio III. venBio Ltd is the sole general partner of venBio GP. The Directors are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares held by venBio III except to the extent of their pecuniary interest therein.

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October 25, 2021 Filed Oct 25, 2021 19:40 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 ConversionSeries A Preferred Stock · Derivative 3,289,742 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-018677 · doc1.xml · derivative · entry 4

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner · See Remarks

Adelman Robert J · CIK 0001329161 · 10% owner · See Remarks

GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,289,742 shares

Expires not disclosed

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

F1 · derivative.exercise_price: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F1 · derivative.exercise_date: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F1 · derivative.expiration_date: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F3 · ownership.direct: Shares held by venBio III. venBio GP is the sole general partner of venBio III. venBio Ltd is the sole general partner of venBio GP. The Directors are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares held by venBio III except to the extent of their pecuniary interest therein.

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October 25, 2021 Filed Oct 25, 2021 19:40 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 PurchaseCommon Stock 312,500 $16.00 $5,000,000.00
Disclosure

SEC source: 0001567619-21-018677 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner · See Remarks

Adelman Robert J · CIK 0001329161 · 10% owner · See Remarks

GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,997,269

F3 · ownership.direct: Shares held by venBio III. venBio GP is the sole general partner of venBio III. venBio Ltd is the sole general partner of venBio GP. The Directors are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares held by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
October 25, 2021 Filed Oct 25, 2021 19:40 UTC Ventyx Biosciences, Inc. VTYX · Entity 62843 ConversionCommon Stock 3,684,769 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-21-018677 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner · See Remarks

VENBIO GLOBAL STRATEGIC GP III, LTD · CIK 0001869300 · 10% owner · See Remarks

Adelman Robert J · CIK 0001329161 · 10% owner · See Remarks

GOODMAN COREY S · CIK 0001278411 · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,684,769

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

F1 · price: All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.

F3 · ownership.direct: Shares held by venBio III. venBio GP is the sole general partner of venBio III. venBio Ltd is the sole general partner of venBio GP. The Directors are each a director of venBio Ltd and may be deemed to share voting and dispositive power over the shares held by venBio III. Each of the Directors, together with venBio Ltd and venBio GP, disclaims beneficial ownership over the shares held by venBio III except to the extent of their pecuniary interest therein.

Read SEC document
June 29, 2021 Filed Jul 1, 2021 17:27 UTC Elevation Oncology, Inc. ELEV · Entity 77243 ConversionSeries B Preferred Stock · Derivative 8,380,034 $0.00 $0.00
Disclosure

SEC source: 0001567619-21-012858 · doc1.xml · derivative · entry 3

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

Royston Aaron · CIK 0001727703 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,983,167 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 B Preferred Stock automatically converted into approximately 0.236654 shares of the Issuer's common stock immediately prior to the completion of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into approximately 0.236654 shares of the Issuer's common stock immediately prior to the completion of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into approximately 0.236654 shares of the Issuer's common stock immediately prior to the completion of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
June 29, 2021 Filed Jul 1, 2021 17:27 UTC Elevation Oncology, Inc. ELEV · Entity 77243 PurchaseCommon Stock 625,000 $16.00 $10,000,000.00
Disclosure

SEC source: 0001567619-21-012858 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

Royston Aaron · CIK 0001727703 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,608,167

F2 · ownership.direct: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
June 29, 2021 Filed Jul 1, 2021 17:27 UTC Elevation Oncology, Inc. ELEV · Entity 77243 ConversionCommon Stock 1,983,167 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-21-012858 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund III, L.P. · CIK 0001739920 · 10% owner

VENBIO GLOBAL STRATEGIC GP III, L.P. · CIK 0001869303 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

Royston Aaron · CIK 0001727703 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,983,167

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 B Preferred Stock automatically converted into approximately 0.236654 shares of the Issuer's common stock immediately prior to the completion of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held by venBio Global Strategic Fund III, L.P. venBio Global Strategic GP III, L.P. is the sole general partner of venBio Global Strategic Fund III, L.P. and venBio Global Strategic GP III, Ltd. is the sole general partner of venBio Global Strategic GP III, L.P. Each of Corey Goodman, Robert Adelman and Aaron Royston is a director of venBio Global Strategic GP III, Ltd. Each of venBio Global Strategic GP III, L.P., venBio Global Strategic GP III, Ltd, Dr. Goodman, Dr. Adelman and Dr. Royston disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.