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person · Reporting owner

Nielsen Jack

Disclosed activity across 8 companies

Tapewire entity
90378
SEC CIK
0001602402

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040Director · 10% ownerJune 20, 2023June 22, 2023
Aligos Therapeutics, Inc.ALGS · Entity 7352DirectorFebruary 27, 2024February 28, 2024
Apollo Endosurgery, Inc.APEN · Entity 114713DirectorDecember 29, 2016December 29, 2016
Crinetics Pharmaceuticals, Inc.CRNX · Entity 3579DirectorJune 21, 2019June 25, 2019
Harmony Biosciences Holdings, Inc.HRMY · Entity 4381DirectorMay 29, 2024May 31, 2024
IO Biotech, Inc.IOBT · Entity 8764DirectorJune 08, 2023June 13, 2023
Instil Bio, Inc.TIL · Entity 7177DirectorJune 14, 2023January 10, 2024
REATA PHARMACEUTICALS INCRETA · Entity 12293DirectorJune 10, 2021June 14, 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.

ALX ONCOLOGY HOLDINGS INC

Report date June 20, 2023 · Filed June 22, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.14 · Expires 2033-06-19Direct20,200 Reported balance After 2023-06-20 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-20 · Grant · Acquired 20,200 · Balance 20,200

F1: Shares subject to the option vest in 12 equal monthly installments on the 20th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

Filing footnotes · ownership attribution and instrument terms

F1: Shares subject to the option vest in 12 equal monthly installments on the 20th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

Aligos Therapeutics, Inc.

Report date February 27, 2024 · Filed February 28, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.58 · Expires 2031-06-17Direct0 Reported balance After 2024-02-27 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-02-27 · Disposition to issuer · Disposed 15,000 · Balance 0

F1: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.96 · Expires 2031-06-17Direct4,411 Reported balance After 2024-02-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2024-02-28 · Grant · Acquired 4,411 · Balance 4,411

F1: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

F2: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary.

Filing footnotes · ownership attribution and instrument terms

F1: On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 15,000 of the issuer's shares granted to the reporting person on June 17, 2021. In exchange, on February 28, 2024, the reporting person received a replacement option, for 4,411 shares, having an exercise price of $0.96 per share.

F2: The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary.

Apollo Endosurgery, Inc.

Report date December 29, 2016 · Filed December 29, 2016

This filing explicitly reported no securities owned.

Crinetics Pharmaceuticals, Inc.

Report date June 21, 2019 · Filed June 25, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.24 · Expires 2029-06-20Direct12,500 Reported balance After 2019-06-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2019-06-21 · Grant · Acquired 12,500 · Balance 12,500

F1: The entire number of shares subject to this option become fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The entire number of shares subject to this option become fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Harmony Biosciences Holdings, Inc.

Report date May 29, 2024 · Filed May 31, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $29.33 · Expires 2034-05-29Direct6,336 Reported balance After 2024-05-29 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-05-29 · Grant · Acquired 6,336 · Balance 6,336

F1: The stock option shall vest in full on the earlier to occur of (i) May 29, 2025 and (ii) the date of the next annual meeting following the grant date, subject to continued service through the applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The stock option shall vest in full on the earlier to occur of (i) May 29, 2025 and (ii) the date of the next annual meeting following the grant date, subject to continued service through the applicable vesting date.

IO Biotech, Inc.

Report date June 08, 2023 · Filed June 13, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.08 · Expires 2033-06-08Direct41,533 Reported balance After 2023-06-08 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-08 · Grant · Acquired 41,533 · Balance 41,533

F1: These options vest on June 8, 2024, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control.

Filing footnotes · ownership attribution and instrument terms

F1: These options vest on June 8, 2024, subject to the reporting person's continued service through the applicable vesting date, and subject to 100% acceleration upon a change of control.

Instil Bio, Inc.

Report date June 14, 2023 · Filed January 10, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.18 · Expires 2033-06-13Direct1,500 Reported balance After 2023-06-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-14 · Grant · Acquired 1,500 · Balance 1,500

F1: The option will vest in 12 equal monthly installments commencing on July 14, 2023, subject to the Report Person's continued service as a director through the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The option will vest in 12 equal monthly installments commencing on July 14, 2023, subject to the Report Person's continued service as a director through the vesting date.

REATA PHARMACEUTICALS INC

Report date June 10, 2021 · Filed June 14, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $146.01 · Expires 2031-06-10Direct5,000 Reported balance After 2021-06-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2021-06-10 · Grant · Acquired 5,000 · Balance 5,000

F1: The options vest in 4 equal installments on September 10, 2021, December 10, 2021, March 10, 2022, and June 10, 2022, subject to continued service through each vesting date.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $146.01 · Expires 2031-06-10Direct1,201 Reported balance After 2021-06-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-06-10 · Grant · Acquired 1,201 · Balance 1,201

F3: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $100,000.

F2: The options vest in the following installments: 300 shares on September 10, 2021, December 10, 2021 and March 10, 2022, respectively, and 301 shares June 10, 2022, subject to continued service through each vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The options vest in 4 equal installments on September 10, 2021, December 10, 2021, March 10, 2022, and June 10, 2022, subject to continued service through each vesting date.

F2: The options vest in the following installments: 300 shares on September 10, 2021, December 10, 2021 and March 10, 2022, respectively, and 301 shares June 10, 2022, subject to continued service through each vesting date.

F3: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $100,000.

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
April 12, 2022 Filed Apr 14, 2022 19:26 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 2,486 $50.05 $124,424.30
Disclosure

SEC source: 0001104659-22-046146 · tm2211710-4_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,741

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 08, 2022 Filed Apr 11, 2022 19:25 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 5,164 $50.09 $258,664.76
Disclosure

SEC source: 0001104659-22-044759 · tm2211710-3_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,093,195

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 08, 2022 Filed Apr 11, 2022 19:25 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 735 $50.09 $36,816.15
Disclosure

SEC source: 0001104659-22-044759 · tm2211710-3_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,227

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 07, 2022 Filed Apr 11, 2022 19:25 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 4,610 $50.25 $231,652.50
Disclosure

SEC source: 0001104659-22-044759 · tm2211710-3_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,098,359

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 07, 2022 Filed Apr 11, 2022 19:25 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 656 $50.25 $32,964.00
Disclosure

SEC source: 0001104659-22-044759 · tm2211710-3_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,962

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 05, 2022 Filed Apr 6, 2022 18:20 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 17,829 $50.25 $895,907.25
Disclosure

SEC source: 0001104659-22-043316 · tm2211710-2_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,102,969

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.17, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 05, 2022 Filed Apr 6, 2022 18:20 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 2,538 $50.25 $127,534.50
Disclosure

SEC source: 0001104659-22-043316 · tm2211710-2_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 14,618

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.17, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 04, 2022 Filed Apr 6, 2022 18:20 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 899 $50.00 $44,950.00
Disclosure

SEC source: 0001104659-22-043316 · tm2211710-2_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,120,798

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 04, 2022 Filed Apr 6, 2022 18:20 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 128 $50.00 $6,400.00
Disclosure

SEC source: 0001104659-22-043316 · tm2211710-2_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 17,156

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 01, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 2,079 $50.00 $103,950.00
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 6

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,121,697

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
April 01, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 296 $50.00 $14,800.00
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 5

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 17,284

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 31, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 6,272 $50.15 $314,540.80
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,123,776

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.63, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 31, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 893 $50.15 $44,783.95
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 17,580

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.63, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 30, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 24,381 $50.24 $1,224,901.44
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,130,048

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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March 30, 2022 Filed Apr 1, 2022 18:37 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 3,470 $50.24 $174,332.80
Disclosure

SEC source: 0001104659-22-041861 · tm2211416-1_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 18,473

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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March 29, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 30,996 $50.89 $1,577,386.44
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 6

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,154,429

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.03 to $52.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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March 29, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 4,412 $50.89 $224,526.68
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 5

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 21,943

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.03 to $52.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 28, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 37,195 $50.82 $1,890,249.90
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,185,425

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 28, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 5,294 $50.82 $269,041.08
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,355

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 25, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 31,710 $50.24 $1,593,110.40
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,222,620

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.48 to $51.83, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 25, 2022 Filed Mar 29, 2022 20:40 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 4,514 $50.24 $226,783.36
Disclosure

SEC source: 0001104659-22-039635 · tm228148-9_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 31,649

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.48 to $51.83, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 24, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 16,576 $50.12 $830,789.12
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 6

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,254,330

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 24, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 2,359 $50.12 $118,233.08
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 5

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,163

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F6 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 23, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 9,439 $50.25 $474,309.75
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,270,906

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 23, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 1,344 $50.25 $67,536.00
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 38,522

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $51.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 22, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 5,757 $50.13 $288,598.41
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,280,345

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.36, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 22, 2022 Filed Mar 24, 2022 20:07 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 819 $50.13 $41,056.47
Disclosure

SEC source: 0001104659-22-037649 · tm228148-7_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,866

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.36, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 18, 2022 Filed Mar 21, 2022 20:31 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 9,003 $50.10 $451,050.30
Disclosure

SEC source: 0001104659-22-036243 · tm228148-6_4seq1.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,286,097

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.31, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 18, 2022 Filed Mar 21, 2022 20:31 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 1,282 $50.10 $64,228.20
Disclosure

SEC source: 0001104659-22-036243 · tm228148-6_4seq1.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 40,685

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F5 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.31, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 17, 2022 Filed Mar 21, 2022 20:31 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 5,161 $50.05 $258,308.05
Disclosure

SEC source: 0001104659-22-036243 · tm228148-6_4seq1.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,295,100

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.13, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F2 · ownership.nature: The shares are held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. As a managing member of Vivo Capital VIII, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
March 17, 2022 Filed Mar 21, 2022 20:31 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 SaleCommon Stock 735 $50.05 $36,786.75
Disclosure

SEC source: 0001104659-22-036243 · tm228148-6_4seq1.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,967

F3 · kind: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2021.

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $50.00 to $50.13, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:15 UTC IO Biotech, Inc. IOBT · Entity 8764 ConversionSeries C Preferred Stock · Derivative 188,168 $0.00 $0.00
Disclosure

SEC source: 0001140361-21-037652 · form4.xml · derivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,365,545 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The reporting person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:15 UTC IO Biotech, Inc. IOBT · Entity 8764 PurchaseCommon Stock 650,000 $14.00 $9,100,000.00
Disclosure

SEC source: 0001140361-21-037652 · form4.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,015,545

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The reporting person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:15 UTC IO Biotech, Inc. IOBT · Entity 8764 ConversionCommon Stock 2,365,545 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-21-037652 · form4.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,365,545

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: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The reporting person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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June 17, 2021 Filed Jun 17, 2021 22:46 UTC Aligos Therapeutics, Inc. ALGS · Entity 7352 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $26.58 $0.00
Disclosure

SEC source: 0001567619-21-012370 · doc1.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or the day prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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June 11, 2021 Filed Jun 15, 2021 22:59 UTC ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 GrantStock Option (right to buy) · Derivative 12,004 $0.00 Strike: $59.66 $0.00
Disclosure

SEC source: 0001209191-21-040732 · doc4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,004

Underlying: Common Stock · 12,004 shares

Expires 2031-06-10

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the same day of the month as the grant date, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

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June 10, 2021 Filed Jun 14, 2021 11:26 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 1,201 $83.24 Strike: $146.01 $99,971.24
Disclosure

SEC source: 0001209191-21-040136 · doc4.xml · derivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201

Underlying: Class A common stock · 1,201 shares

Expires 2031-06-10

F3 · price: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $100,000.

F2 · derivative.exercise_date: The options vest in the following installments: 300 shares on September 10, 2021, December 10, 2021 and March 10, 2022, respectively, and 301 shares June 10, 2022, subject to continued service through each vesting date.

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June 10, 2021 Filed Jun 14, 2021 11:26 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $146.01 $0.00
Disclosure

SEC source: 0001209191-21-040136 · doc4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A common stock · 5,000 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The options vest in 4 equal installments on September 10, 2021, December 10, 2021, March 10, 2022, and June 10, 2022, subject to continued service through each vesting date.

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May 20, 2021 Filed Jun 14, 2021 16:30 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 GrantStock Option · Derivative 7,246 $0.00 Strike: $32.50 $0.00
Disclosure

SEC source: 0000899243-21-023566 · doc4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,246

Underlying: Common Stock · 7,246 shares

Expires 2031-05-20

F1 · derivative.exercise_date: The stock option shall vest in full on the earlier to occur of (i) May 20, 2022 and (ii) the date of the next annual meeting following the grant date, subject to continued service through the applicable vesting date.

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March 23, 2021 Filed Mar 25, 2021 17:30 UTC Instil Bio, Inc. TIL · Entity 7177 ConversionSeries C Preferred Stock · Derivative 397,576 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-023064 · doc4.xml · derivative · entry 5

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 477,091 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The Reporting Person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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March 23, 2021 Filed Mar 25, 2021 17:30 UTC Instil Bio, Inc. TIL · Entity 7177 ConversionSeries B Preferred Stock · Derivative 9,758,080 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-023064 · doc4.xml · derivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 11,709,696 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The Reporting Person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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March 23, 2021 Filed Mar 25, 2021 17:30 UTC Instil Bio, Inc. TIL · Entity 7177 PurchaseCommon Stock 300,000 $20.00 $6,000,000.00
Disclosure

SEC source: 0001209191-21-023064 · doc4.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,486,787

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The Reporting Person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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March 23, 2021 Filed Mar 25, 2021 17:30 UTC Instil Bio, Inc. TIL · Entity 7177 ConversionCommon Stock 477,091 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-023064 · doc4.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,186,787

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

F1 · price: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The Reporting Person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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March 23, 2021 Filed Mar 25, 2021 17:30 UTC Instil Bio, Inc. TIL · Entity 7177 ConversionCommon Stock 11,709,696 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-023064 · doc4.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,709,696

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

F1 · price: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F2 · ownership.nature: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. The Reporting Person is a managing member of Capital IX and may be deemed to share voting and investment power with respect to the shares beneficially owned by Fund IX and disclaims Section 16 beneficial ownership of such securities held by Fund IX, except to the extent of his pecuniary interest therein, if any.

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March 18, 2021 Filed Mar 22, 2021 20:56 UTC Instil Bio, Inc. TIL · Entity 7177 GrantStock Option (right to buy) · Derivative 52,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-022477 · doc4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,000

Underlying: Common Stock · 52,000 shares

Expires 2031-03-18

F1 · derivative.exercise_date: The option will vest in 36 equal monthly installments commencing on April 18, 2021, subject to the Report Person's continued service as a director through the vesting date.

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August 26, 2020 Filed Aug 27, 2020 19:26 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 PurchaseCommon Stock 3,922 $34.30 $134,524.60
Disclosure

SEC source: 0000899243-20-023547 · doc4.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 42,702

F3 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $33.9 to $35.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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August 25, 2020 Filed Aug 27, 2020 19:26 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 PurchaseCommon Stock 823 $34.20 $28,146.60
Disclosure

SEC source: 0000899243-20-023547 · doc4.xml · nonDerivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 38,780

F2 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $33.3 to $34.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (2) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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August 24, 2020 Filed Aug 24, 2020 21:09 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 PurchaseCommon Stock 3,057 $34.30 $104,855.10
Disclosure

SEC source: 0000899243-20-023341 · doc4.xml · nonDerivative · entry 4

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 37,957

F4 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $35.0 to $33.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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August 21, 2020 Filed Aug 24, 2020 21:09 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 PurchaseCommon Stock 7,352 $34.10 $250,703.20
Disclosure

SEC source: 0000899243-20-023341 · doc4.xml · nonDerivative · entry 3

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 34,900

F3 · price: The price reported herein is a weighted average price. These shares were acquired on the open market in multiple transactions at prices ranging from $33.3 to $35.0, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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August 21, 2020 Filed Aug 24, 2020 21:09 UTC Harmony Biosciences Holdings, Inc. HRMY · Entity 4381 PurchaseCommon Stock 24,812 $24.00 $595,488.00
Disclosure

SEC source: 0000899243-20-023341 · doc4.xml · nonDerivative · entry 2

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 27,548

F2 · price: The price reported herein is the public offering price.

F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the General Partner of Vivo Capital Fund IX, L.P. As a managing member of Vivo Capital IX, LLC, Jack Nielsen shares voting and dispositive power with respect to the shares held of record by Vivo Capital Fund IX, L.P with other managing members, but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

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