organization · Reporting owner
OrbiMed Capital GP IV LLC
Disclosed activity across 7 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Acutus Medical, Inc.AFIB · Entity 83848 | Director · 10% owner | July 19, 2021 | July 21, 2021 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
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.
Acutus Medical, Inc.
Report date July 19, 2021 · Filed July 21, 2021
Jointly reported with ORBIMED ADVISORS LLC, Orbimed ROF II LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,872,025 |
Reported balance
After 2021-07-19 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2021-07-19 · Purchase · Acquired 714,285 · Balance 4,872,025 F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F2: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,677,361 |
Reported balance
After 2021-07-19 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2021-07-19 · Purchase · Acquired 357,143 · Balance 1,677,361 F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F3: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,022 |
Reported balance
Holding disclosure · report date 2021-07-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,022 F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. F5: Represents shares of the Issuer's common stock received by Bonita for service on the Issuer's board of directors. Pursuant to an agreement with OrbiMed Advisors and GP IV, Bonita is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP IV, which will in turn ensure that such securities or economic benefits are provided to OPI IV. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.
F2: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV.
F3: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II.
F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
F5: Represents shares of the Issuer's common stock received by Bonita for service on the Issuer's board of directors. Pursuant to an agreement with OrbiMed Advisors and GP IV, Bonita is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP IV, which will in turn ensure that such securities or economic benefits are provided to OPI IV.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
Jointly reported with ORBIMED ADVISORS LLC, ISALY SAMUEL D
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,868,966 |
Last balance in matching sequence
After 2017-11-20 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2017-11-20 · Conversion · Acquired 19,533 · Balance 19,533 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 2 · 2017-11-20 · Conversion · Acquired 252,230 · Balance 271,763 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 3 · 2017-11-20 · Conversion · Acquired 328,909 · Balance 600,672 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 4 · 2017-11-20 · Conversion · Acquired 114,320 · Balance 714,992 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 5 · 2017-11-20 · Conversion · Acquired 653,974 · Balance 1,368,966 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 6 · 2017-11-20 · Conversion · Acquired 500,000 · Balance 1,868,966 F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-11-20 · Conversion · Disposed 66,667 · Balance 0 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-11-20 · Conversion · Disposed 704,846 · Balance 0 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-11-20 · Conversion · Disposed 736,648 · Balance 0 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2017-11-20 · Conversion · Disposed 229,412 · Balance 0 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2017-11-20 · Conversion · Disposed 2,232,014 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors. F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.
F6: The reported securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and owner of a controlling interest in, Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI IV. The Reporting Persons have designated a representative, currently Carl Gordon, a member of Advisors, to serve on the Issuer's board of directors.
F7: This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Past disclosures · reporting ended (5)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ARMO BioSciences, Inc.
Report date June 22, 2018 · Filed June 22, 2018
Jointly reported with ORBIMED ADVISORS LLC, OrbiMed Capital GP V LLC
Section 16 reporting ended · disclosed 2018-06-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy OrbiMed Private Investments IV, LP | 3,709,356 |
Reported balance
After 2018-06-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-06-22 · Other · Disposed 3,709,356 · Balance 3,709,356 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share. F2: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. F4: Each of GP IV, GP V and Advisors disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Carl L. Gordon, a member of Advisors, to serve on the Issuer's board of directors. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy OrbiMed Private Investments V, LP | 409,547 |
Reported balance
After 2018-06-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-06-22 · Other · Disposed 409,547 · Balance 409,547 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share. F3: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and Advisors is the managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to have beneficial ownership over such securities. F4: Each of GP IV, GP V and Advisors disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Carl L. Gordon, a member of Advisors, to serve on the Issuer's board of directors. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 9, 2018, by and among the Issuer, Eli Lilly and Company ("Parent") and Bluegill Acquisition Corporation ("Merger Sub"), a wholly-owned subsidiary of Parent, Merger Sub made a cash tender offer (the "Offer") to purchase each outstanding share of the Issuer's common stock for $50.00 per share (the "Offer Price"), net to the seller in cash, without interest and less any applicable tax withholding. These shares were tendered into the Offer and, after the expiration of the Offer at one minute after 11:59 pm Eastern Time on June 21, 2018, Merger Sub accepted all of the tendered shares and the holder was entitled to receive the Offer Price per share.
F2: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities.
F3: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and Advisors is the managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to have beneficial ownership over such securities.
F4: Each of GP IV, GP V and Advisors disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Carl L. Gordon, a member of Advisors, to serve on the Issuer's board of directors. This report on Form 4 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Alector, Inc.
Report date April 14, 2020 · Filed April 17, 2020
Jointly reported with ORBIMED ADVISORS LLC
Section 16 reporting ended · disclosed 2020-04-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 6,002,771 |
Reported balance
After 2020-04-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-04-14 · Sale · Disposed 17,595 · Balance 6,002,771 F1: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.52. F2: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,921,804 |
Reported balance
After 2020-04-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-04-14 · Sale · Disposed 5,636 · Balance 1,921,804 F1: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.52. F3: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 5,955,674 |
Reported balance
After 2020-04-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-04-16 · Sale · Disposed 47,097 · Balance 5,955,674 F5: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.53. F2: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,906,718 |
Reported balance
After 2020-04-16 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-04-16 · Sale · Disposed 15,086 · Balance 1,906,718 F5: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.53. F3: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.52.
F2: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities.
F3: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
F4: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities.
F5: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.53.
Audentes Therapeutics, Inc.
Report date March 08, 2018 · Filed March 12, 2018
Jointly reported with ORBIMED ADVISORS LLC
Section 16 reporting ended · disclosed 2018-03-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,539,997 |
Last balance in matching sequence
After 2018-03-12 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2018-03-08 · Sale · Disposed 58,428 · Balance 3,638,000 F1: The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $34.01 to $34.27 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 2 · 2018-03-09 · Sale · Disposed 21,300 · Balance 3,616,700 F2: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $34.35 to $35.31 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 3 · 2018-03-09 · Sale · Disposed 47,395 · Balance 3,569,305 F3: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $35.35 to $36.33 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 4 · 2018-03-09 · Sale · Disposed 11,305 · Balance 3,558,000 F4: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $36.34 to $36.65 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 5 · 2018-03-12 · Sale · Disposed 1,066 · Balance 3,556,934 F5: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $36.01 to $36.14 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 6 · 2018-03-12 · Sale · Disposed 16,937 · Balance 3,539,997 F6: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $34.80 to $35.19 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote. F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $34.01 to $34.27 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F2: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $34.35 to $35.31 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F3: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $35.35 to $36.33 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $36.34 to $36.65 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F5: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $36.01 to $36.14 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F6: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $34.80 to $35.19 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.
F7: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI IV.
F8: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
Principia Biopharma Inc.
Report date May 21, 2019 · Filed May 22, 2019
Jointly reported with ORBIMED ADVISORS LLC
Section 16 reporting ended · disclosed 2019-05-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,605,713 |
Reported balance
After 2019-05-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-05-21 · Sale · Disposed 1,000,000 · Balance 1,605,713 F1: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $30.25. F2: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $30.25.
F2: These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI IV and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
F3: This report on Form 4 is jointly filed by GP IV and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
TELA Bio, Inc.
Report date June 28, 2024 · Filed July 02, 2024
Jointly reported with ORBIMED ADVISORS LLC
Section 16 reporting ended · disclosed 2024-07-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 2,407,242 |
Last balance in matching sequence
After 2024-07-02 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-06-28 · Sale · Disposed 378,000 · Balance 2,457,542 F1: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 2 · 2024-07-01 · Sale · Disposed 13,700 · Balance 2,443,842 F1: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Row 3 · 2024-07-02 · Sale · Disposed 36,600 · Balance 2,407,242 F1: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV.
F2: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 02, 2024 Filed Jul 2, 2024 20:54 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 36,600 | $4.54 | $166,164.00 |
DisclosureSEC source: 0000947871-24-000583 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,407,242 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| July 01, 2024 Filed Jul 2, 2024 20:54 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 13,700 | $4.68 | $64,116.00 |
DisclosureSEC source: 0000947871-24-000583 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,443,842 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| June 28, 2024 Filed Jul 2, 2024 20:54 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 378,000 | $4.74 | $1,791,720.00 |
DisclosureSEC source: 0000947871-24-000583 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,457,542 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 21:08 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 27,700 | $9.41 | $260,657.00 |
DisclosureSEC source: 0000947871-23-000484 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,835,542 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 20, 2023 Filed Apr 21, 2023 21:08 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 28,300 | $9.43 | $266,869.00 |
DisclosureSEC source: 0000947871-23-000484 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,863,242 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 19, 2023 Filed Apr 21, 2023 21:08 UTC | TELA Bio, Inc. TELA · Entity 7381 | SaleCommon Stock | 136,000 | $9.30 | $1,264,800.00 |
DisclosureSEC source: 0000947871-23-000484 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 2,891,542 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP IV. By virtue of such relationships, OrbiMed Advisors and GP IV may be deemed to have voting power and investment power over the securities held by OPI IV and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI IV. F2 · ownership.nature: Each of OrbiMed Advisors and GP IV disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 21:30 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 357,143 | $14.00 | $5,000,002.00 |
DisclosureSEC source: 0000947871-21-000788 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,677,361 F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F4 · ownership.nature: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 21:30 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 714,285 | $14.00 | $9,999,990.00 |
DisclosureSEC source: 0000947871-21-000788 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,872,025 F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F2 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F4 · ownership.nature: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 378,733 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 11 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 378,733 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,202,117 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 10 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,202,117 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 389,116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 9 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 389,116 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries C Convertible Preferred Stock · Derivative | 899,985 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 8 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 899,985 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries C Convertible Preferred Stock · Derivative | 647,582 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 7 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 647,582 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries B Convertible Preferred Stock · Derivative | 673,123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 673,123 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries B Convertible Preferred Stock · Derivative | 872,302 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 872,302 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_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionCommon Stock | 1,278,718 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,320,218 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 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionCommon Stock | 3,784,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,157,740 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 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 41,500 | $18.00 | $747,000.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 41,500 F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 373,500 | $18.00 | $6,723,000.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 373,500 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| April 16, 2020 Filed Apr 17, 2020 00:23 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 15,086 | $23.53 | $354,973.58 |
DisclosureSEC source: 0000947871-20-000388 · ownership.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,906,718 F5 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.53. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| April 16, 2020 Filed Apr 17, 2020 00:23 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 47,097 | $23.53 | $1,108,192.41 |
DisclosureSEC source: 0000947871-20-000388 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,955,674 F5 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.53. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 14, 2020 Filed Apr 17, 2020 00:23 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 5,636 | $23.52 | $132,558.72 |
DisclosureSEC source: 0000947871-20-000388 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,921,804 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.52. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| April 14, 2020 Filed Apr 17, 2020 00:23 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 17,595 | $23.52 | $413,834.40 |
DisclosureSEC source: 0000947871-20-000388 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,002,771 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.52. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 09, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 69,893 | $23.79 | $1,662,754.47 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,927,440 F6 · price: These Shares were sold in a block order at a price of $23.79. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| April 09, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 218,208 | $23.79 | $5,191,168.32 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,020,366 F6 · price: These Shares were sold in a block order at a price of $23.79. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 08, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 20,041 | $23.65 | $473,969.65 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,997,333 F5 · price: These Shares were sold in a block order at a price of $23.65. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| April 08, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 62,573 | $23.65 | $1,479,851.45 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,238,574 F5 · price: These Shares were sold in a block order at a price of $23.65. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 07, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 2,224 | $23.10 | $51,374.40 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,017,374 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.10. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| April 07, 2020 Filed Apr 9, 2020 21:30 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 6,946 | $23.10 | $160,452.60 |
DisclosureSEC source: 0000947871-20-000371 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,301,147 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.10. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 21:06 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 60,645 | $24.50 | $1,485,802.50 |
DisclosureSEC source: 0000947871-20-000317 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,019,598 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $24.50. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 21:06 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 189,355 | $24.50 | $4,639,197.50 |
DisclosureSEC source: 0000947871-20-000317 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,308,093 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $24.50. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 25, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 13,684 | $24.66 | $337,447.44 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,080,243 F6 · price: These Shares were sold in a block order at a price of $24.66. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 25, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 42,727 | $24.66 | $1,053,647.82 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,497,448 F6 · price: These Shares were sold in a block order at a price of $24.66. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 16,409 | $24.45 | $401,200.05 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,093,927 F5 · price: These Shares were sold in a block order at a price of $24.45. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 51,235 | $24.45 | $1,252,695.75 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,540,175 F5 · price: These Shares were sold in a block order at a price of $24.45. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 3,541 | $26.05 | $92,243.05 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,110,336 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $26.00. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 11,057 | $26.05 | $288,034.85 |
DisclosureSEC source: 0000947871-20-000288 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,591,410 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $26.00. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:17 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 38,808 | $26.00 | $1,009,008.00 |
DisclosureSEC source: 0000947871-20-000183 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $26.00. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F5 · ownership.nature: The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:17 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 445,086 | $26.00 | $11,572,236.00 |
DisclosureSEC source: 0000947871-20-000183 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,113,877 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $26.00. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| March 02, 2020 Filed Mar 4, 2020 21:17 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 1,390,309 | $26.00 | $36,148,034.00 |
DisclosureSEC source: 0000947871-20-000183 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,602,467 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $26.00. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 21:48 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 1,392 | $19.50 | $27,144.00 |
DisclosureSEC source: 0000947871-20-000023 · ownership.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 38,808 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.50. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F5 · ownership.nature: The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 21:48 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 91,818 | $19.50 | $1,790,451.00 |
DisclosureSEC source: 0000947871-20-000023 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,558,963 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.50. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 21:48 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 286,787 | $19.50 | $5,592,346.50 |
DisclosureSEC source: 0000947871-20-000023 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,992,776 F1 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.50. F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F3 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 26, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 1,200 | $18.60 | $22,320.00 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 12 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 40,200 F4 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $18.60. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F8 · ownership.nature: The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| December 26, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 2,325 | $18.60 | $43,245.00 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 11 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,650,781 F4 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $18.60. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F7 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| December 26, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 7,275 | $18.60 | $135,315.00 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 10 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,279,563 F4 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $18.60. F5 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 8,000 | $19.59 | $156,720.00 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 9 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 41,400 F3 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.59. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F8 · ownership.nature: The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 15,476 | $19.59 | $303,174.84 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 8 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,653,106 F3 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.59. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F7 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 48,324 | $19.59 | $946,667.16 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 7 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,286,838 F3 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.59. F5 · ownership.nature: The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 23, 2019 Filed Dec 26, 2019 21:54 UTC | Alector, Inc. ALEC · Entity 6051 | SaleCommon Stock | 10,400 | $19.82 | $206,128.00 |
DisclosureSEC source: 0000947871-19-000992 · ownership.xml · nonDerivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · 10% owner ORBIMED CAPITAL LLC · CIK 0001157524 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 49,400 F2 · price: These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $19.82. F6 · ownership.nature: Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F8 · ownership.nature: The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.