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person · Reporting owner

Gould Terry P

Disclosed activity across 3 companies

Tapewire entity
89833
SEC CIK
0001553470

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Aptinyx Inc.APTX · Entity 120922DirectorMay 26, 2022May 31, 2022
Corvus Pharmaceuticals, Inc.CRVS · Entity 4839Director · 10% ownerJune 13, 2024June 17, 2024
Icosavax, Inc.ICVX · Entity 94107DirectorAugust 02, 2021August 03, 2021

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.

Aptinyx Inc.

Report date May 26, 2022 · Filed May 31, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2032-05-25Direct40,000 Reported balance After 2022-05-26 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-05-26 · Grant · Acquired 40,000 · Balance 40,000

F1: This option vests in ratable monthly installments over one year from the date of grant.

F2: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This option vests in ratable monthly installments over one year from the date of grant.

F2: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Corvus Pharmaceuticals, Inc.

Report date June 13, 2024 · Filed June 17, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.12 · Expires 2034-06-13Direct15,000 Reported balance After 2024-06-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-06-13 · Grant · Acquired 15,000 · Balance 15,000

F3: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Common Stock, $0.0001 par valueSEC Table I · non-derivativeIndirectBy Funds3,275,616 Reported balance Holding disclosure · report date 2024-06-13 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 3,275,616

F1: Represents 694,854 shares held by Adams Street 2011 Direct Fund LP ("AS 2011"), 715,361 shares held by Adams Street 2012 Direct Fund LP ("AS 2012"), 541,133 shares held by Adams Street 2013 Direct Fund LP ("AS 2013"), 736,033 shares held by Adams Street 2014 Direct Fund LP ("AS 2014"), 69,864 shares held by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"), 67,769 shares held by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"), 87,668 shares held by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"), 126,806 shares held by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018") and 236,128 shares held by Adams Street Venture/Growth VI LP ("ASVG VI").

F2: Adams Street Partners, LLC, as the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. (Terry) Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents 694,854 shares held by Adams Street 2011 Direct Fund LP ("AS 2011"), 715,361 shares held by Adams Street 2012 Direct Fund LP ("AS 2012"), 541,133 shares held by Adams Street 2013 Direct Fund LP ("AS 2013"), 736,033 shares held by Adams Street 2014 Direct Fund LP ("AS 2014"), 69,864 shares held by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"), 67,769 shares held by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"), 87,668 shares held by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"), 126,806 shares held by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018") and 236,128 shares held by Adams Street Venture/Growth VI LP ("ASVG VI").

F2: Adams Street Partners, LLC, as the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. (Terry) Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

F3: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Icosavax, Inc.

Report date August 02, 2021 · Filed August 03, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes948,188 Reported balance After 2021-08-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-08-02 · Conversion · Acquired 948,188 · Balance 948,188

F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes996,169 Reported balance After 2021-08-02 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2021-08-02 · Purchase · Acquired 47,981 · Balance 996,169

F10: ASVG VI acquired additional shares in the Issuer's initial public offering.

F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes916,558 Reported balance After 2021-08-02 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2021-08-02 · Conversion · Acquired 916,558 · Balance 916,558

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes962,939 Reported balance After 2021-08-02 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2021-08-02 · Purchase · Acquired 46,381 · Balance 962,939

F11: AS GE VII acquired additional shares in the Issuer's initial public offering.

F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes272,131 Reported balance After 2021-08-02 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2021-08-02 · Conversion · Acquired 272,131 · Balance 272,131

F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes352,037 Reported balance After 2021-08-02 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2021-08-02 · Conversion · Acquired 352,037 · Balance 352,037

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes525,729 Reported balance After 2021-08-02 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2021-08-02 · Conversion · Acquired 525,729 · Balance 525,729

F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes552,333 Reported balance After 2021-08-02 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 8 · 2021-08-02 · Purchase · Acquired 26,604 · Balance 552,333

F12: AS 2018 acquired additional shares in the Issuer's initial public offering.

F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes244,415 Reported balance After 2021-08-02 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 9 · 2021-08-02 · Conversion · Acquired 244,415 · Balance 244,415

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnotes256,783 Reported balance After 2021-08-02 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 10 · 2021-08-02 · Purchase · Acquired 12,368 · Balance 256,783

F13: AS 2019 acquired additional shares in the Issuer's initial public offering.

F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2021-08-02 · Conversion · Disposed 3,631,066 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2021-08-02 · Conversion · Disposed 3,509,939 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2021-08-02 · Conversion · Disposed 1,042,120 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2021-08-02 · Conversion · Disposed 1,348,119 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2021-08-02 · Conversion · Disposed 2,013,269 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2021-08-02 · Conversion · Disposed 935,985 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2021-08-02 · Conversion · Disposed 309,321 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2021-08-02 · Conversion · Disposed 299,003 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2021-08-02 · Conversion · Disposed 88,775 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2021-08-02 · Conversion · Disposed 114,843 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2021-08-02 · Conversion · Disposed 171,505 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Series B-1 Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee footnotes0 Reported balance After 2021-08-02 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2021-08-02 · Conversion · Disposed 79,734 · Balance 0

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F3: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F4: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F5: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F6: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F7: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

F9: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F10: ASVG VI acquired additional shares in the Issuer's initial public offering.

F11: AS GE VII acquired additional shares in the Issuer's initial public offering.

F12: AS 2018 acquired additional shares in the Issuer's initial public offering.

F13: AS 2019 acquired additional shares in the Issuer's initial public offering.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 13, 2024 Filed Jun 17, 2024 16:43 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000341 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 16:03 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000387 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 17:01 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000188 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 18:36 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016293 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 17:37 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013131 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
May 26, 2022 Filed May 31, 2022 16:31 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001415889-22-005909 · form4-05312022_040554.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant.

F2 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
September 09, 2021 Filed Sep 13, 2021 16:53 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017010 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the first anniversary of the grant date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 79,734 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 22

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 19,186 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 171,505 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 21

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 41,269 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 114,843 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 20

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 27,635 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 88,775 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 19

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 21,362 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 299,003 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 18

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 71,950 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries B-1 Preferred Stock · Derivative 309,321 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 17

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 74,432 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 935,985 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 16

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 225,229 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 2,013,269 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 15

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 484,459 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 1,348,119 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 14

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 324,402 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 1,042,120 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 13

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 250,768 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 3,509,939 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 12

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 844,608 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionSeries A-1 Preferred Stock · Derivative 3,631,066 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · derivative · entry 11

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 873,755 shares

Expires not disclosed

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.exercise_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F1 · derivative.expiration_date: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 PurchaseCommon Stock 12,368 $15.00 $185,520.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 10

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 256,783

F13 · kind: AS 2019 acquired additional shares in the Issuer's initial public offering.

F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 244,415 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 9

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 244,415

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F7 · ownership.nature: The shares are held directly by Adams Street 2019 Direct Growth Equity Fund LP ("AS 2019").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 PurchaseCommon Stock 26,604 $15.00 $399,060.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 8

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 552,333

F12 · kind: AS 2018 acquired additional shares in the Issuer's initial public offering.

F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 525,729 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 7

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 525,729

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.

F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F6 · ownership.nature: The shares are held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 352,037 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 6

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 352,037

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F5 · ownership.nature: The shares are held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 272,131 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 5

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 272,131

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.

F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F4 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 PurchaseCommon Stock 46,381 $15.00 $695,715.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 4

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 962,939

F11 · kind: AS GE VII acquired additional shares in the Issuer's initial public offering.

F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 916,558 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 3

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 916,558

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

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F3 · ownership.nature: The shares are held directly by Adams Street Growth Equity Fund VII LP ("AS GE VII").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 PurchaseCommon Stock 47,981 $15.00 $719,715.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 2

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 996,169

F10 · kind: ASVG VI acquired additional shares in the Issuer's initial public offering.

F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
August 02, 2021 Filed Aug 3, 2021 18:56 UTC Icosavax, Inc. ICVX · Entity 94107 ConversionCommon Stock 948,188 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-031369 · doc4.xml · nonDerivative · entry 1

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 948,188

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.

F9 · shares: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F1 · price: On August 2, 2021, the shares of Series A-1 Preferred Stock and Series B-1 Preferred Stock converted into shares of the Issuer's common stock at a ratio of 4.1557-for-1 automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date. As a result of the Issuer's initial public offering, the reporting person is no longer a 10% owner of the Issuer and is therefore no longer subject to Section 16 in connection with its transactions in the equity securities of the Issuer.

F9 · balance_after: Includes additional shares of Common Stock as a result of the conversion of Preferred Stock calculated on an aggregate basis of all shares of Preferred Stock held by the holder.

F2 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC as the managing member of the general partner of the general partner of ASVG VI, AS GE VII, AS 2016, AS 2017, AS 2018 and AS 2019 (collectively the "Funds"), may be deemed to beneficially own the shares held by the Funds. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by the Funds. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang disclaim beneficial ownership of the shares held by the Funds except to the extent of their pecuniary interest therein.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 16:16 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012192 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
May 27, 2021 Filed Jun 1, 2021 16:38 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.59 $0.00
Disclosure

SEC source: 0001415889-21-002742 · form4-06012021_010627.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-05-26

F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant.

F2 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
December 31, 2020 Filed Jan 5, 2021 16:31 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 4,496 $2.22 Strike: $3.46 $9,999.10
Disclosure

SEC source: 0001415889-21-000089 · form4-01052021_040112.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,496

Underlying: Common Stock · 4,496 shares

Expires 2030-12-30

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
September 30, 2020 Filed Oct 2, 2020 15:05 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 4,623 $2.16 Strike: $3.38 $9,999.55
Disclosure

SEC source: 0001415889-20-002400 · form4-10022020_031011.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,623

Underlying: Common Stock · 4,623 shares

Expires 2030-09-29

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 16:07 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 3,735 $2.68 Strike: $4.17 $9,998.60
Disclosure

SEC source: 0001415889-20-001798 · form4-07022020_040728.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,735

Underlying: Common Stock · 3,735 shares

Expires 2030-06-29

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
June 09, 2020 Filed Jun 12, 2020 17:11 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001567619-20-012099 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-09

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2021 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:10 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.84 $0.00
Disclosure

SEC source: 0001104659-20-065360 · a4.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant.

F2 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 16:19 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 7,374 $1.36 Strike: $2.16 $9,999.14
Disclosure

SEC source: 0001567619-20-007421 · doc1.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,374

Underlying: Common Stock · 7,374 shares

Expires 2030-03-30

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

Read SEC document
March 19, 2020 Filed Mar 23, 2020 17:27 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001567619-20-006904 · doc1.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F3 · derivative.exercise_date: 100% of the shares subject to the option vest and become exercisable on the one-year anniversary of the grant date, subject to continued service as a director through such date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
December 31, 2019 Filed Jan 3, 2020 16:25 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 4,668 $2.14 Strike: $3.42 $9,998.86
Disclosure

SEC source: 0001567619-20-000346 · doc1.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,668

Underlying: Common Stock · 4,668 shares

Expires 2029-12-30

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

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September 30, 2019 Filed Oct 2, 2019 16:35 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 4,802 $2.08 Strike: $3.49 $9,997.76
Disclosure

SEC source: 0001567619-19-019086 · doc1.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,802

Underlying: Common Stock · 4,802 shares

Expires 2029-09-29

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

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June 28, 2019 Filed Jul 2, 2019 17:01 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 5,046 $1.98 Strike: $3.34 $10,001.17
Disclosure

SEC source: 0001104659-19-039058 · a4.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,046

Underlying: Common Stock · 5,046 shares

Expires 2029-06-27

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

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June 20, 2019 Filed Jun 24, 2019 16:05 UTC Corvus Pharmaceuticals, Inc. CRVS · Entity 4839 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-19-017918 · doc4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-06-20

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

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May 15, 2019 Filed May 17, 2019 17:01 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.73 $0.00
Disclosure

SEC source: 0001104659-19-030322 · a4.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-05-14

F1 · derivative.exercise_date: This option vests in ratable monthly installments over one year from the date of grant.

F2 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

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March 29, 2019 Filed Apr 2, 2019 16:42 UTC Aptinyx Inc. APTX · Entity 120922 GrantStock Option (Right to Buy) · Derivative 4,123 $2.43 Strike: $4.05 $9,998.28
Disclosure

SEC source: 0001104659-19-019399 · a4.xml · derivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,123

Underlying: Common Stock · 4,123 shares

Expires 2029-03-28

F1 · shares: The option award was issued to the Reporting Person, who elected to take equity awards in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · balance_after: The Reporting Person, Terry P. Gould, is a partner of Adams Street Partners, LLC ("Adams Street"). Adams Street is the direct or indirect general partner/investment adviser of managed entities that own common stock of the Issuer. By agreement with certain of such Adams Street funds, Mr. Gould is deemed to hold the stock options for the benefit of those funds. Mr. Gould disclaims beneficial ownership of the stock options except to the extent of his pecuniary interest therein.

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June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries B Convertible Preferred Stock · Derivative 7,676,955 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 43

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 278,290 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F7 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

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June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-2 Convertible Preferred Stock · Derivative 11,551,579 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 42

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 418,745 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F7 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

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June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-1 Convertible Preferred Stock · Derivative 10,107,719 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 41

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 366,404 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F7 · ownership.nature: The shares are held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries B Convertible Preferred Stock · Derivative 2,303,087 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 40

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 83,487 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F6 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-2 Convertible Preferred Stock · Derivative 3,465,474 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 39

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 125,623 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F6 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

Read SEC document
June 25, 2018 Filed Jun 26, 2018 16:50 UTC Aptinyx Inc. APTX · Entity 120922 ConversionSeries A-1 Convertible Preferred Stock · Derivative 3,032,316 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-042307 · a4.xml · derivative · entry 38

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 109,921 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · price: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date.

F6 · ownership.nature: The shares are held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016").

F8 · ownership.nature: Adams Street Partners, LLC is the managing member of the general partner of each of AS 2008, AS 2009 and AS 2010 and the managing member of the general partner of the general partner of AS 2011 (along with AS 2008, AS 2009 and AS 2010, as defined in footnote 10), AS 2012, AS 2013, AS 2014, AS 2015, AS 2016 and ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or subsidiary thereof), may be deemed to have shared voting and investment power over the reported shares. Mr. Gould is a member of the Issuer's Board of Directors. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould III, Robin P. Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by each of the aforementioned funds except to the extent of their pecuniary interests therein.

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