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Adelman Robert J

Disclosed activity across 10 companies

Tapewire entity
88848
SEC CIK
0001329161

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALX ONCOLOGY HOLDINGS INCALXO · Entity 604010% owner · See RemarksJuly 21, 2020July 22, 2020
IPI Legacy Liquidation CoIMPL · Entity 1565910% ownerApril 27, 2021April 29, 2021
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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect96,406 Reported balance After 2020-07-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-07-21 · Conversion · Acquired 78,175 · Balance 96,406

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F10: Includes 18,231 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F7: The shares are held by Robert Adelman directly.

Common StockSEC Table I · non-derivativeDirect99,406 Reported balance After 2020-07-21 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2020-07-21 · Purchase · Acquired 3,000 · Balance 99,406

F7: The shares are held by Robert Adelman directly.

Common StockSEC Table I · non-derivativeIndirectSee footnote3,969,789 Reported balance After 2020-07-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-07-21 · Conversion · Acquired 3,100,020 · Balance 3,969,789

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3: Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote4,418,325 Reported balance After 2020-07-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2020-07-21 · Conversion · Acquired 3,941,949 · Balance 4,418,325

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F8: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F9: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F5: Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote5,268,325 Reported balance After 2020-07-21 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2020-07-21 · Purchase · Acquired 850,000 · Balance 5,268,325

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-07-21 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-07-21 · Conversion · Disposed 78,175 · Balance 0

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F7: The shares are held by Robert Adelman directly.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-21 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2020-07-21 · Conversion · Disposed 3,100,020 · Balance 0

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-21 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2020-07-21 · Conversion · Disposed 2,398,588 · Balance 0

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-21 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2020-07-21 · Conversion · Disposed 490,411 · Balance 0

F8: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series C Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2020-07-16 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2020-07-16 · Conversion · Disposed 1,052,950 · Balance 0

F9: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes461,811 Reported balance Holding disclosure · report date 2020-07-21 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 461,811

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

F2: The shares are held by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. Robert Adelman is a managing director of venBio SPV, LLC and disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

F2: The shares are held by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. Robert Adelman is a managing director of venBio SPV, LLC and disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.

F3: Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F4: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F5: Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

F7: The shares are held by Robert Adelman directly.

F8: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F9: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F10: Includes 18,231 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,759,791 Last balance in matching sequence After 2021-04-27 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-04-27 · Conversion · Acquired 2,309,791 · Balance 2,309,791

F1: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Row 2 · 2021-04-27 · Purchase · Acquired 450,000 · Balance 2,759,791

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-04-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-04-27 · Conversion · Disposed 5,876,034 · Balance 0

F1: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series C-3 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-04-27 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-04-27 · Conversion · Disposed 8,201,930 · Balance 0

F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-04-27 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-04-27 · Conversion · Disposed 8,845,942 · Balance 0

F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Series C-1 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-04-27 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2021-04-27 · Conversion · Disposed 13,233,885 · Balance 0

F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

5% Convertible Note due 2021SEC Table II · derivative / convertible security · Expires 2021-12-31Direct0 Reported balance After 2021-04-27 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2021-04-27 · Conversion · Disposed Not disclosed · Balance 0

F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman 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: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F2: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F3: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F4: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F5: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).

F6: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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 (7)

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

Section 16 reporting ended · disclosed 2020-01-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote3,033,552 Last balance in matching sequence After 2020-07-06 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2020-07-01 · Sale · Disposed 108,064 · Balance 3,041,955

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $35.20, 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 purchased at each separate price within the range set forth herein.

F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Row 2 · 2020-07-02 · Sale · Disposed 3,800 · Balance 3,038,155

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $33.79, 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 purchased at each separate price within the range set forth herein.

F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Row 3 · 2020-07-06 · Sale · Disposed 4,603 · Balance 3,033,552

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $34.07, 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 purchased at each separate price within the range set forth herein.

F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its 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 $33.50 to $35.20, 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 purchased at each separate price within the range set forth herein.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $33.79, 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 purchased at each separate price within the range set forth herein.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.50 to $34.07, 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 purchased at each separate price within the range set forth herein.

F4: These shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

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.

Section 16 reporting ended · disclosed 2022-05-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,155,930 Last balance in matching sequence After 2022-05-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2022-05-13 · Sale · Disposed 35,850 · Balance 2,251,730

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to $10.45, 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.

F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Row 2 · 2022-05-16 · Sale · Disposed 95,800 · Balance 2,155,930

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.44 to $10.45, 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.

F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman 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 $10.43 to $10.45, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.44 to $10.45, 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.

F3: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Elevation Oncology, Inc.

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

Jointly reported with venBio Global Strategic Fund III, L.P., VENBIO GLOBAL STRATEGIC GP III, L.P., GOODMAN COREY S, 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 2021-10-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,443,421 Last balance in matching sequence After 2021-10-25 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-10-22 · Sale · Disposed 75,035 · Balance 2,984,088

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.66, 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 purchased at each separate price within the range set forth herein.

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Row 2 · 2021-10-25 · Sale · Disposed 540,667 · Balance 2,443,421

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.59, 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 purchased at each separate price within the range set forth herein.

F1: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors 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 shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.66, 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 purchased at each separate price within the range set forth herein.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.59, 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 purchased at each separate price within the range set forth herein.

Section 16 reporting ended · disclosed 2019-04-01. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote4,265,141 Last balance in matching sequence After 2019-04-01 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2019-04-01 · Purchase · Acquired 50,000 · Balance 50,000

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Row 2 · 2019-04-01 · Conversion · Acquired 3,747,623 · Balance 3,797,623

F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Row 3 · 2019-04-01 · Conversion · Acquired 467,518 · Balance 4,265,141

F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2019-04-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-04-01 · Conversion · Disposed 8,000,000 · Balance 0

F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2019-04-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-04-01 · Conversion · Disposed 998,004 · Balance 0

F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the Issuer's preferred stock converted into shares of the Issuer's common stock, $0.000005 par value per share, on a one-for-2.134686 basis upon the closing of the Issuer's initial public offering, after giving effect to the reverse stock split effected by the Issuer in connection with the initial public offering.

F2: venBio Global Strategic GP, LP is the sole general partner of venBio Global Strategic Fund, LP and venBio Global Strategic GP, Ltd. is the sole general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman are directors of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., Mr. Adelman and Mr. Goodman disclaims beneficial ownership of such securities, except to the extent of his/its 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.

Read SEC document
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.

Read SEC document
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.

Read SEC document
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.

Read SEC document
May 16, 2022 Filed May 17, 2022 17:12 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 95,800 $10.45 $1,001,100.42
Disclosure

SEC source: 0001567619-22-011111 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,155,930

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.44 to $10.45, 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.

F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 13, 2022 Filed May 17, 2022 17:12 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 35,850 $10.45 $374,464.01
Disclosure

SEC source: 0001567619-22-011111 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,251,730

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to $10.45, 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.

F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 12, 2022 Filed May 12, 2022 20:47 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 124,525 $10.39 $1,294,312.85
Disclosure

SEC source: 0001567619-22-010353 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,287,580

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.435, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 11, 2022 Filed May 12, 2022 20:47 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 17,700 $10.38 $183,641.04
Disclosure

SEC source: 0001567619-22-010353 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,412,105

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.45, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 10, 2022 Filed May 12, 2022 20:47 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 18,676 $10.38 $193,869.95
Disclosure

SEC source: 0001567619-22-010353 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,429,805

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.39, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 09, 2022 Filed May 9, 2022 18:58 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 17,600 $10.37 $182,582.40
Disclosure

SEC source: 0001567619-22-009850 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,448,481

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.38, 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.

F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 06, 2022 Filed May 9, 2022 18:58 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 48,334 $10.37 $501,233.25
Disclosure

SEC source: 0001567619-22-009850 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,466,081

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.38, 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.

F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 05, 2022 Filed May 9, 2022 18:58 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 20,743 $10.37 $215,104.91
Disclosure

SEC source: 0001567619-22-009850 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,514,415

F3 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 04, 2022 Filed May 4, 2022 19:30 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 37,500 $10.37 $388,923.75
Disclosure

SEC source: 0001567619-22-009528 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,535,158

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.38, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 03, 2022 Filed May 4, 2022 19:30 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 79,475 $10.37 $824,433.91
Disclosure

SEC source: 0001567619-22-009528 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,572,658

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.38, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
May 02, 2022 Filed May 4, 2022 19:30 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 153,700 $10.38 $1,595,974.69
Disclosure

SEC source: 0001567619-22-009528 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,652,133

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.43, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 29, 2022 Filed Apr 29, 2022 17:50 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 69,230 $10.38 $718,662.78
Disclosure

SEC source: 0001567619-22-009203 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,805,833

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.39, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 28, 2022 Filed Apr 29, 2022 17:50 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 73,400 $10.38 $761,936.04
Disclosure

SEC source: 0001567619-22-009203 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,875,063

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.40, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 27, 2022 Filed Apr 29, 2022 17:50 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 47,396 $10.38 $491,979.96
Disclosure

SEC source: 0001567619-22-009203 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,948,463

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.43, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 26, 2022 Filed Apr 26, 2022 18:40 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 64,683 $10.38 $671,558.31
Disclosure

SEC source: 0001567619-22-008985 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,995,859

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.43, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 25, 2022 Filed Apr 26, 2022 18:40 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 27,668 $10.39 $287,404.12
Disclosure

SEC source: 0001567619-22-008985 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,060,542

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.43, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 22, 2022 Filed Apr 26, 2022 18:40 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 37,430 $10.39 $388,834.07
Disclosure

SEC source: 0001567619-22-008985 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,088,210

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.40, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 21, 2022 Filed Apr 21, 2022 20:54 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 62,200 $10.38 $645,866.14
Disclosure

SEC source: 0001567619-22-008823 · doc1.xml · nonDerivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125,640

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.40, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 20, 2022 Filed Apr 21, 2022 20:54 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 85,611 $10.39 $889,387.00
Disclosure

SEC source: 0001567619-22-008823 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,187,840

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.38 to $10.40, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
April 19, 2022 Filed Apr 21, 2022 20:54 UTC Checkmate Pharmaceuticals, Inc. CMPI · Entity 126718 SaleCommon Stock 399,923 $10.42 $4,165,238.04
Disclosure

SEC source: 0001567619-22-008823 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,273,451

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.37 to $10.44, 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.

F4 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, L.P. is the sole general partner of venBio Global Strategic Fund II, L.P. and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, L.P., venBio Global Strategic GP II, Ltd., Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

Read SEC document
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.

Read SEC document
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.

Read SEC document
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.

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October 25, 2021 Filed Oct 26, 2021 16:35 UTC Metacrine, Inc. MTCR · Entity 115177 SaleCommon Stock 540,667 $1.49 $805,972.30
Disclosure

SEC source: 0001567619-21-018722 · doc1.xml · nonDerivative · entry 2

venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner

venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner

venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,443,421

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.59, 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 purchased at each separate price within the range set forth herein.

F1 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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October 22, 2021 Filed Oct 26, 2021 16:35 UTC Metacrine, Inc. MTCR · Entity 115177 SaleCommon Stock 75,035 $1.64 $122,929.84
Disclosure

SEC source: 0001567619-21-018722 · doc1.xml · nonDerivative · entry 1

venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner

venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner

venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,984,088

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.66, 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 purchased at each separate price within the range set forth herein.

F1 · ownership.direct: The shares are held by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. Robert Adelman and Corey Goodman (collectively, the "Directors") are each a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd., and the Directors disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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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.

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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.

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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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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 Conversion5% Convertible Note due 2021 · Derivative Not disclosed $0.00 $1,359,799.28
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · derivative · entry 7

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 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 · 101,457 shares

Expires 2021-12-31

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.

F5 · derivative.exercise_price: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).

F5 · derivative.exercise_date: This convertible promissory note was issued by the issuer in March 2021 and the outstanding principal and accrued interest automatically converted into the number of shares of the issuer's common stock shown in Column 7 upon the closing of the issuer's IPO at $13.50 per share (90% of the IPO price).

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 ConversionSeries C-1 Redeemable Convertible Preferred Stock · Derivative 13,233,885 $0.00 $0.00
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · derivative · entry 6

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 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 · 808,259 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.

F4 · derivative.exercise_price: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F4 · derivative.exercise_date: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F4 · derivative.expiration_date: These shares of the issuer's Series C-1 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative 8,845,942 $0.00 $0.00
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · derivative · entry 5

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 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 · 540,265 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: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F3 · derivative.exercise_date: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F3 · derivative.expiration_date: These shares of the issuer's Series C-2 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 ConversionSeries C-3 Redeemable Convertible Preferred Stock · Derivative 8,201,930 $0.00 $0.00
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · derivative · entry 4

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 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 · 500,932 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: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F2 · derivative.exercise_date: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F2 · derivative.expiration_date: These shares of the issuer's Series C-3 redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's IPO, and had no expiration date.

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 ConversionSeries D Redeemable Convertible Preferred Stock · Derivative 5,876,034 $0.00 $0.00
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · derivative · entry 3

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 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 · 358,878 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: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F1 · derivative.exercise_date: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F1 · derivative.expiration_date: These shares of the issuer's Series D redeemable convertible preferred stock automatically converted on a 16.37332-for-one basis into the number of shares of the issuer's common stock shown in Column 7 immediately upon closing of the issuer's initial public offering ("IPO"), and had no expiration date.

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

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April 27, 2021 Filed Apr 29, 2021 18:44 UTC IPI Legacy Liquidation Co IMPL · Entity 15659 PurchaseCommon Stock 450,000 $15.00 $6,750,000.00
Disclosure

SEC source: 0000905148-21-000408 · form4.xml · nonDerivative · entry 2

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner

GOODMAN COREY S · CIK 0001278411 · 10% owner

Adelman Robert J · CIK 0001329161 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759,791

F6 · ownership.direct: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Each of Corey Goodman and Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, Dr. Goodman and Dr. Adelman 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.